Chapter 1500 Design Patents

1501 Statutes and Rules Applicable 1502 Definition of a Design 1502.01 Distinction Between Design and Utility Patents 1503 Elements of a Design Patent Application 1503.01 Specification 1503.02 Drawing ** 1504 Examination 1504.01 Statutory Subject Matter for Designs 1504.01(a) Computer-Generated Icons 1504.01(b) Design Comprising Multiple Articles or

Multiple Parts Embodied in a Single Article 1504.01(c) Lack of Ornamentality 1504.01(d) Simulation 1504.01(e) Offensive Subject Matter 1504.02 Novelty 1504.03 Nonobviousness 1504.04 Considerations Under 35 U.S.C. 112 1504.05 Restriction 1504.06 Double Patenting 1504.10 Priority Under 35 U.S.C. 119 (a)-(d) 1504.20 Benefit Under 35 U.S.C. 120 1504.30 Expedited Examination 1505 Allowance and Term of Design Patent 1509 Reissue of a Design Patent 1510 Reexamination 1511 Protest 1512 Relationship Between Design Patent,

Copyright, and Trademark 1513 Miscellaneous

1501 Statutes and Rules Applicable

The right to a patent for a design stems from:

35 U.S.C. 171. Patents for designs. Whoever invents any new, original and ornamental design for

an article of manufacture may obtain a patent therefor, subject to the conditions and requirements of this title.

The provisions of this title relating to patents for inventions shall apply to patents for designs, except as otherwise provided.

37 CFR 1.151. Rules applicable. The rules relating to applications for patents for other inven­

tions or discoveries are also applicable to applications for patents for designs except as otherwise provided.

37 CFR 1.152-1.155, which relate only to design patents, are reproduced in the sections of this chapter.

It is noted that design patent applications are not included in the Patent Cooperation Treaty (PCT), and the procedures followed for PCT international appli­cations are not to be followed for design patent appli­cations.

The practices set forth in other chapters of this Manual of Patent Examining Procedure (MPEP) are to be followed in examining applications for design patents, except as particularly pointed out in the chap­ter.

1502 Definition of a Design [R-2]

In a design patent application, the subject matter which is claimed is the design embodied in or applied to an article of manufacture (or portion thereof) and not the article itself. Ex parte Cady, 1916 C.D. 62, 232 O.G. 621 (Comm’r Pat. 1916). “[35 U.S.C.] 171 refers, not to the design of an article, but to the design for an article, and is inclusive of ornamental designs of all kinds including surface ornamentation as well as configuration of goods.” In re Zahn, 617 F.2d 261, 204 USPQ 988 (CCPA 1980).

The design for an article consists of the visual char­acteristics embodied in or applied to an article.

Since a design is manifested in appearance, the sub­ject matter of a design patent application may relate to the configuration or shape of an article, to the surface ornamentation applied to an article, or to the combina­tion of configuration and surface ornamentation.

Design is inseparable from the article to which it is applied and cannot exist alone merely as a scheme of surface ornamentation. It must be a definite, precon­ceived thing, capable of reproduction and not merely the chance result of a method.

¶ 15.42 Visual Characteristics The design for an article consists of the visual characteristics or

aspect displayed by the article. It is the appearance presented by the article which creates an impression through the eye upon the mind of the observer.

¶ 15.43 Subject Matter of Design Patent Since a design is manifested in appearance, the subject matter

of a Design Patent may relate to the configuration or shape of an article, to the surface ornamentation on an article, or to both.

>

¶ 15.44 Design Inseparable From Article to Which Applied Design is inseparable from the article to which it is applied,

and cannot exist alone merely as a scheme of ornamentation. It must be a definite preconceived thing, capable of reproduction,

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and not merely the chance result of a method or of a combination of functional elements (35 U.S.C. 171; 35 U.S.C. 112, first and second paragraphs). See Blisscraft of Hollywood v.United Plas­tics Co., 189 F. Supp. 333, 127 USPQ 452 (S.D.N.Y. 1960), 294 F.2d 694, 131 USPQ 55 (2d Cir. 1961).

< 1502.01 Distinction Between Design and

Utility Patents [R-2]

In general terms, a “utility patent” protects the way an article is used and works (35 U.S.C. 101), while a “design patent” protects the way an article looks (35 U.S.C. 171). The ornamental appearance for an article includes its shape/configuration or surface ornamentation *>applied to< the article, or both. Both design and utility patents may be obtained on an arti­cle if invention resides both in its utility and ornamen­tal appearance.

While utility and design patents afford legally sepa­rate protection, the utility and ornamentality of an article may not be easily separable. ** >Articles of manufacture may possess both functional and orna­mental characteristics.<

Some of the more common differences between design and utility patents are summarized below:

(A) The term of a utility patent on an application filed on or after June 8, 1995 is 20 years measured from the U.S. filing date; or if the application contains a specific reference to an earlier application under 35 U.S.C. 120, 121, or 365(c), 20 years from the earli­est effective U.S. filing date, while the term of a design patent is 14 years measured from the date of grant (see 35 U.S.C. 173).

(B) Maintenance fees are required for utility pat­ents (see 37 CFR 1.20), while no maintenance fees are required for design patents.

(C) Design patent applications include only a sin­gle claim, while utility patent applications can have multiple claims.

(D) Restriction between plural, distinct inventions is discretionary on the part of the examiner in utility patent applications (see MPEP § 803), while it is man­datory in design patent applications (see MPEP § 1504.05).

(E) An international application naming various countries may be filed for utility patents under the Patent Cooperation Treaty (PCT), while no such pro­vision exists for design patents.

(F) Foreign priority under 35 U.S.C. 119(a)-(d) can be obtained for the filing of utility patent applica­tions up to 1 year after the first filing in any country subscribing to the Paris Convention, while this period is only 6 months for design patent applications (see 35 U.S.C. 172).

(G) Utility patent applications may claim the ben­efit of a provisional application under 35 U.S.C. 119(e) whereas design patent applications may not. See 35 U.S.C. 172 and 37 CFR 1.78 (a)(4).

(H) A Request for Continued Examination (RCE) under 37 CFR 1.114 may only be filed in utility and plant applications filed under 35 U.S.C. 111(a) on or after June 8, 1995, while RCE is not available for design applications (see 37 CFR 1.114(e)).

(I) * >Effective July 14, 2003, continued< prose­cution application (CPA) practice under 37 CFR 1.53(d) is >only< available for design applications **>(see 37 CFR 1.53(d)(1)(i)). Prior to July 14, 2003, CPA practice was< available for utility and plant applications only where the prior application has a fil­ing date prior to May 29, 2000 **.

(J) Utility patent applications filed on or after November 29, 2000 are subject to application publica­tion under 35 U.S.C. 122(b)(1)(A), whereas design applications are not subject to application publication (see 35 U.S.C. 122(b)(2)).

Other distinctions between design and utility patent practice are detailed in this chapter. Unless otherwise provided, the rules for applications for utility patents are equally applicable to applications for design pat­ents (35 U.S.C. 171 and 37 CFR 1.151).

1503 Elements of a Design Patent Appli­cation [R-2]

A design patent application has essentially the ele­ments required of an application for a utility patent filed under 35 U.S.C. 101 (see Chapter 600). The arrangement of the elements of a design patent appli­cation and the sections of the specification are as specified in 37 CFR 1.154.

A claim in a specific form is a necessary element of a design patent application. See MPEP § *>1503.01, subsection III<.

A drawing is an essential element of a design patent application. See MPEP § 1503.02 for requirements for drawings.

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1503.01 Specification [R-2]

37 CFR 1.153. Title, description and claim, oath or declaration.

(a)The title of the design must designate the particular article. No description, other than a reference to the drawing, is ordinarily required. The claim shall be in formal terms to the ornamental design for the article (specifying name) as shown, or as shown and described. More than one claim is neither required nor permitted.

(b)The oath or declaration required of the applicant must com­ply with § 1.63.

37 CFR 1.154. Arrangement of application elements in a design application.

(a) The elements of the design application, if applicable, should appear in the following order:

(1) Design application transmittal form. (2) Fee transmittal form. (3) Application data sheet (see § 1.76). (4) Specification. (5) Drawings or photographs. (6) Executed oath or declaration (see § 1.153(b)).

(b) The specification should include the following sections in order:

(1) Preamble, stating the name of the applicant, title of the design, and a brief description of the nature and intended use of the article in which the design is embodied.

(2) Cross-reference to related applications (unless included in the application data sheet).

(3) Statement regarding federally sponsored research or development.

(4) Description of the figure or figures of the drawing. (5) Feature description. (6) A single claim.

(c) The text of the specification sections defined in para­graph (b) of this section, if applicable, should be preceded by a section heading in uppercase letters without underlining or bold type.

¶ 15.05 Design Patent Specification Arrangement The following order or arrangement should be observed in

framing a design patent specification: (1) Preamble, stating name of the applicant, title of the

design, and a brief description of the nature and intended use of the article in which the design is embodied.

(2) Cross-reference to related applications unless included in the application data sheet.

(3) Statement regarding federally sponsored research or development.

(4) Description of the figure or figures of the drawing. (5) Feature Description, if any. (6) A single claim.

I. PREAMBLE AND TITLE

A preamble, if included, should state the name of the applicant, the title of the design, and a brief

description of the nature and intended use of the arti­cle in which the design is embodied (37 CFR 1.154).

The title of the design identifies the article in which the design is embodied by the name generally known and used by the public but it does not define the scope of the claim. See MPEP § 1504.04, subsection I.A. The title may be directed to the entire article embody­ing the design while the claimed design shown in full lines in the drawings may be directed to only a portion of the article. However, the title may not be directed to less than the claimed design shown in full lines in the drawings. A title descriptive of the actual article aids the examiner in developing a complete field of search of the prior art and further aids in the proper assignment of new applications to the appropriate class, subclass, and patent examiner, and the proper classification of the patent upon allowance of the application. It also helps the public in understanding the nature and use of the article embodying the design after the patent has been issued. For example, a broad title such as “Adapter Ring” provides little or no information as to the nature and intended use of the article embodying the design. If a broad title is used, the description of the nature and intended use of the design may be incorporated into the preamble. Absent an amendment requesting deletion of the description, it would be printed on any patent that would issue.

When a design is embodied in an article having multiple functions or comprises multiple independent parts or articles that interact with each other, the title must clearly define them as a single entity, for exam­ple, combined or combination, set, pair, unit assem­bly.

Since 37 CFR 1.153 requires that the title must des­ignate the particular article, and since the claim must be in formal terms to the “ornamental design for the article (specifying name) as shown, or as shown and described,” the title and claim must correspond. When the title and claim do not correspond, the title should be objected to under 37 CFR 1.153 as not correspond­ing to the claim.

However, it is emphasized that, under the second paragraph of 35 U.S.C. 112, the claim defines “the subject matter which the applicant regards as his invention” (emphasis added); that is, the ornamental design to be embodied in or applied to an article. Thus, the examiner should afford the applicant sub­stantial latitude in the language of the title/claim. The

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examiner should only require amendment of the title/ claim if the language is clearly misdescriptive, inac­curate, or unclear (i.e., the language would result in a rejection of the claim under 35 U.S.C. 112, second paragraph; see MPEP § 1504.04, subsection *>III<). The use of language such as “or the like” or “or simi­lar article” in the title when directed to the environ­ment of the article embodying the design will not be the basis for a rejection of the claim under 35 U.S.C. 112*>,< second paragraph. Such language is improper only when used to broaden the article, per se, which embodies the design. An acceptable title would be “door for cabinets, houses, or the like,” while the title “door or the like” would be unaccept­able and the claim will be rejected under 35 U.S.C. 112, second paragraph. Ex parte Pappas, 23 USPQ2d 1636 (Bd. Pat. App. & Inter. 1992). See also MPEP § 1504.04; subsection *>III<.

Amendments to the title, whether directed to the article in which the design is embodied or its environ­ment, must have antecedent basis in the original dis­closure and may not introduce new matter. Ex parte Strijland, 26 USPQ2d 1259 (Bd. Pat. App. & Inter. 1992). If an amendment to the title is directed to the environment in which the design is used and the amendment would introduce new matter, the amend­ment to the title must be objected to under 35 U.S.C. 132. If an amendment to the title is directed to the arti­cle in which the design is embodied and the amend­ment would introduce new matter, in addition to the objection under 35 U.S.C. 132, the claim must be rejected under 35 U.S.C. 112, first paragraph.

Any amendment to the language of the title should also be made at each occurrence thereof throughout the application, except in the oath or declaration. If the title of the article is not present in the original fig­ure descriptions, it is not necessary to incorporate the title into the descriptions as part of any amendment to the language of the title.

¶ 15.05.01 Title of Design Invention The title of a design being claimed must correspond to the

name of the article in which the design is embodied or applied to. See MPEP § 1503.01.

¶ 15.59 Amend Title For [1], the title [2] amended throughout the application, origi­

nal oath or declaration excepted, to read: [3]

Examiner Note: 1. In bracket 1, insert reason.

2. In bracket 2, insert --should be-- or --has been--.

II. DESCRIPTION

No description of the design in the specification beyond a brief description of the drawing is generally necessary, since as a rule the illustration in the draw­ing views is its own best description. However, while not required, such a description is not prohibited and may be incorporated, at applicant’s option, into the specification or may be provided in a separate paper. Descriptions of the figures are not required to be writ­ten in any particular format, however, if they do not describe the views of the drawing clearly and accu­rately, the examiner should object to the unclear and/ or inaccurate descriptions and suggest language which is more clearly descriptive of the views.

In addition to the figure descriptions, the following types of statements are permissible in the specifica­tion:

(A) Description of the appearance of portions of the claimed design which are not illustrated in the drawing disclosure. Such a description, if provided, must be in the design application as originally filed, and may not be added by way of amendment after the filing of the application as it would be considered new matter.

(B) Description disclaiming portions of the article not shown in the drawing as forming no part of the claimed design.

(C) Statement indicating the purpose of broken lines in the drawing, for example, environmental structure or boundaries that form no part of the design to be patented.

(D) Description denoting the nature and environ­mental use of the claimed design, if not included in the preamble pursuant to 37 CFR 1.154 and MPEP § 1503.01, subsection I.

It is the policy of the Office to attempt to resolve questions about the nature and intended use of the claimed design prior to examination by making a tele­phone inquiry at the time of initial docketing of the application. This will enable the application to be properly classified and docketed to the appropriate examiner and to be searched when the application comes up for examination in its normal course with­out the need for a rejection under 35 U.S.C. 112 prior to a search of the prior art. Explanation of the nature

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and intended use of the article may be added to the specification provided it does not constitute new mat­ter. It may alternately, at applicant’s option, be sub­mitted in a separate paper without amendment of the specification.

(E) A “characteristic features” statement describ­ing a particular feature of the design that is considered by applicant to be a feature of novelty or nonobvious­ness over the prior art (37 CFR 1.71(c)).

This type of statement may not serve as a basis for determining patentability by an examiner. In deter­mining the patentability of a design, it is the overall appearance of the claimed design which must be taken into consideration. In re Rosen, 673 F.2d 388, 213 USPQ 347 (CCPA 1982); In re Leslie, 547 F.2d 116, 192 USPQ 427 (CCPA 1977). Furthermore, the inclusion of such a statement in the specification is at the option of applicant and will not be suggested by the examiner. **>

¶ 15.47 Characteristic Feature Statement A “characteristic features” statement describing a particular

feature of novelty or nonobviousness in the claimed design may be permissible in the specification. Such a statement should be in terms such as “The characteristic feature of the design resides in [1],” or if combined with one of the Figure descriptions, in terms such as “the characteristic feature of which resides in [2].” While consideration of the claim goes to the total or overall appearance, the use of a “characteristic feature” statement may serve later to limit the claim (McGrady v. Aspenglas Corp., 487 F. Supp. 859, 208 USPQ 242 (S.D.N.Y. 1980)).

Examiner Note: In brackets 1 and 2, insert brief but accurate description of the

feature of novelty or nonobviousness of the claimed design.

<

¶ 15.47.01 Feature Statement Caution The inclusion of a feature statement in the specification is

noted. However, the patentability of the claimed design is not based on the specified feature but rather on a comparison of the overall appearance of the design with the prior art. In re Leslie, 547 F.2d 116, 192 USPQ 427 (CCPA 1977).

The following types of statements are not permissi­ble in the specification:

(A) A disclaimer statement directed to any por­tion of the claimed design that is shown in solid lines in the drawings is not permitted in the specification of an issued design patent. However, the disclaimer

statement may be included in the design application as originally filed to provide antecedent basis for a future amendment. See Ex parte Remington, 114 O.G. 761, 1905 C.D. 28 (Comm’r Pat. 1904); In re Blum, 374 F.2d 904, 153 USPQ 177 (CCPA 1967).

(B) Statements which describe or suggest other embodiments of the claimed design which are not illustrated in the drawing disclosure, except one that is a mirror image of that shown >or has a shape and appearance that would be evident from the one shown<, are not permitted in the specification of an issued design patent. However, such statements may be included in the design application as originally filed to provide antecedent basis for a future amend­ment. In addition, statements which attempt to broaden the scope of the claimed design beyond that which is shown in the drawings are not permitted.

(C) Statements describing matters which are directed to function unrelated to the design.

>

¶ 15.41 Functional, Structural Features Not Considered Attention is directed to the fact that design patent applications

are concerned solely with the ornamental appearance of an article of manufacture. The functional and/or structural features stressed by applicant in the papers are of no concern in design cases, and are neither permitted nor required. Function and structure fall under the realm of utility patent applications.

<

¶ 15.46.01 Impermissible Special Description The special description included in the specification is imper­

missible because [1]. See MPEP § 1503.01, subsection II. There­fore, the description should be canceled as any description of the design in the specification, other than a brief description of the drawing, is generally not necessary, since as a general rule, the illustration in the drawing views is its own best description.

Examiner Note: In bracket 1, insert the reason why the special description is

improper.

¶ 15.60 Amend All Figure Descriptions For [1], the figure descriptions [2] amended to read: [3]

Examiner Note: 1. In bracket 1, insert reason. 2. In bracket 2, insert --should be-- or --have been-. 3. In bracket 3, insert amended text.

¶ 15.61 Amend Selected Figure Descriptions For [1], the description(s) of Fig(s). [2] [3] amended to read:

[4]

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Examiner Note: 1. In bracket 1, insert reason. 2. In bracket 2, insert selected Figure descriptions. 3. In bracket 3, insert --should be-- or --have been-. 4. In bracket 4, insert amended text. >

III. DESIGN CLAIM

The requirements for utility claims specified in 37 CFR 1.75 do not apply to design claims. Instead, the form and content of a design claim is set forth in 37 CFR 1.153:

37 CFR 1.153. ... claim... (a) ... The claim shall be in formal terms to the ornamental

design for the article (specifying name) as shown or as shown and described. More than one claim is neither required nor permitted.

*****

A design patent application may only include a sin­gle claim. The single claim should normally be in for­mal terms to “The ornamental design for (the article which embodies the design or to which it is applied) as shown.” The description of the article in the claim should be consistent in terminology with the title of the invention. See MPEP § 1503.01, subsection I.

When the specification includes a proper special description of the design (see MPEP § 1503.01, sub­section II), or a proper showing of modified forms of the design or other descriptive matter has been included in the specification, the words “and described” must be added to the claim following the term “shown”; i.e., the claim must read “The orna­mental design for (the article which embodies the design or to which it is applied) as shown and described.”

The claimed design is shown by full lines in the drawing. It is not permissible to show any portion of the claimed design in broken lines. There are no por­tions of the claimed design which are immaterial or unimportant, and elements shown in broken lines in the drawing are not part of the claim. See MPEP § 1503.02, subsection III, and In re Blum, 374 F.2d 904, 153 USPQ 177 (CCPA 1967).

¶ 15.62 Amend Claim “As Shown” For proper form (37 CFR 1.153), the claim [1] amended to

read: “[2] claim: The ornamental design for [3] as shown.”

Examiner Note: 1. In bracket 1, insert --must be--. 2. In bracket 2, insert --I-- or --We--.

3. In bracket 3, insert title of the article in which the design is embodied or applied.

¶ 15.63 Amend Claim “As Shown and Described” For proper form (37 CFR 1.153), the claim [1] amended to

read: “[2] claim: The ornamental design for [3] as shown and described.”

Examiner Note: 1. In bracket 1, insert --must be--. 2. In bracket 2, insert --I-- or --We--. 3. In bracket 3, insert title of the article in which the design is embodied or applied.

¶ 15.64 Addition of “And Described” to Claim Because of [1] -- and described -- [2] added to the claim after

“shown.”

Examiner Note: 1. In bracket 1, insert reason. 2. In bracket 2, insert --must be--. < 1503.02 Drawing [R-2] 37 CFR 1.152. Design drawings.

The design must be represented by a drawing that complies with the requirements of § 1.84 and must contain a sufficient num­ber of views to constitute a complete disclosure of the appearance of the design. Appropriate and adequate surface shading should be used to show the character or contour of the surfaces represented. Solid black surface shading is not permitted except when used to represent the color black as well as color contrast. Broken lines may be used to show visible environmental structure, but may not be used to show hidden planes and surfaces that cannot be seen through opaque materials. Alternate positions of a design compo­nent, illustrated by full and broken lines in the same view are not permitted in a design drawing. Photographs and ink drawings are not permitted to be combined as formal drawings in one applica­tion. Photographs submitted in lieu of ink drawings in design patent applications must not disclose environmental structure but must be limited to the design claimed for the article.

Every design patent application must include either a drawing or a photograph of the claimed design. As the drawing or photograph constitutes the entire visual disclosure of the claim, it is of utmost impor­tance that the drawing or photograph be clear and complete, and that nothing regarding the design sought to be patented is left to conjecture.

When inconsistencies are found among the views, the examiner should object to the drawings and request that the views be made consistent. Ex parte Asano, 201 USPQ 315, 317 (Bd. Pat. App. & Inter. 1978); Hadco Products, Inc. v. Lighting Corp. of America Inc., 312 F. Supp. 1173, 1182, 165 USPQ 496, 503 (E.D. Pa. 1970), vacated on other grounds,

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462 F.2d 1265, 174 USPQ 358 (3d Cir. 1972). When the inconsistencies are of such magnitude that the overall appearance of the design is unclear, the claim should be rejected under 35 U.S.C. 112, first *>and second paragraphs<, as *>nonenabling and indefi­nite<. See MPEP § 1504.04, subsection I.A. >

¶ 15.05.03 Drawing/Photograph Disclosure Objected To The drawing/photograph disclosure is objected to [1].

Examiner Note: In bracket 1, insert statutory or regulatory basis for objection

and an explanation.

¶ 15.05.04 Replacement Drawing Sheets Required Corrected drawing sheets are required in reply to the Office

action to avoid abandonment of the application. Any amended replacement drawing sheet should include all of the figures appearing on the immediate prior version of the sheet, even if only one figure is being amended. The figure or figure number of an amended drawing should not be labeled as amended. If a drawing figure is to be canceled, the appropriate figure must be removed from the replacement sheet, and where necessary, the remaining figures must be renumbered and appropriate changes made to the brief description of the several views of the drawings for consis­tency. Additional replacement sheets may be necessary to show the renumbering of the remaining figures. The replacement sheet(s) should be labeled Replacement Sheet in the page header (as per 37 CFR 1.84(c)) so as not to obstruct any portion of the drawing figures. If the changes are not accepted by the examiner, the applicant will be notified and informed of any required correc­tive action in the next Office action.

¶ 15.05.05 Drawing Correction Required Prior to Appeal Any appeal of the design claim must include the correction of

the drawings approved by the examiner in accordance with Ex parte Bevan, 142 USPQ 284 (Bd. App. 1964).

Examiner Note: This form paragraph can be used in a FINAL rejection where

an outstanding requirement for a drawing correction has not been satisfied.

¶ 15.07 Avoidance of New Matter When preparing new drawings in compliance with the require­

ment therefor, care must be exercised to avoid introduction of anything which could be construed to be new matter prohibited by 35 U.S.C. 132 and 37 CFR 1.121.

< Form paragraph 15.48 may be used to notify appli­

cant of the necessity for good drawings.

¶ 15.48 Necessity for Good Drawings The necessity for good drawings in a design patent application

cannot be overemphasized. As the drawing constitutes the whole disclosure of the design, it is of utmost importance that it be so

well executed both as to clarity of showing and completeness, that nothing regarding the design sought to be patented is left to con­jecture. An insufficient drawing may be fatal to validity (35 U.S.C. 112, first paragraph). Moreover, an insufficient drawing may have a negative effect with respect to the effective filing date of a continuing application.

In addition to the criteria set forth in 37 CFR 1.81-1.88, design drawings must also comply with 37 CFR 1.152 as follows:

I. VIEWS

The drawings or photographs should contain a suf­ficient number of views to disclose the complete appearance of the design claimed, which may include the front, rear, top, bottom and sides. Perspective views are suggested and may be submitted to clearly show the appearance of three dimensional designs. If a perspective view is submitted, the surfaces shown would normally not be required to be illustrated in other views if these surfaces are clearly understood and fully disclosed in the perspective.

Views that are merely duplicative of other views of the design or that are flat and include no *>surface ornamentation< may be omitted from the drawing if the specification makes this explicitly clear. See MPEP § 1503.01, subsection II. For example, if the left and right sides of a design are identical or a mirror image, a view should be provided of one side and a statement made in the drawing description that the other side is identical or a mirror image. If the design has a flat bottom, a view of the bottom may be omit­ted if the specification includes a statement that the bottom is flat and *>devoid of surface ornamenta­tion<. The term “unornamented” should not be used to describe visible surfaces which include structure that is clearly not flat. Philco Corp. v. Admiral Corp., 199 F. Supp. 797, 131 USPQ 413 (D. Del. 1961).

Sectional views presented solely for the purpose of showing the internal construction or functional/ mechanical features are unnecessary and may lead to confusion as to the scope of the claimed design. Ex parte Tucker, 1901 C.D. 140, 97 O.G. 187 (Comm’r Pat. 1901); Ex parte Kohler, 1905 C.D. 192, 116 O.G. 1185 (Comm’r Pat. 1905). Such views should be objected to under 35 U.S.C. 112, second paragraph, and their cancellation should be required. However, where the exact contour or configuration of the exte­rior surface of a claimed design is not apparent from the views of the drawing, and no attempt is made to

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illustrate features of internal construction, a sectional view may be included to clarify the shape of said design. Ex parte Lohman, 1912 C.D. 336, 184 O.G. 287 (Comm’r Pat. 1912). When a sectional view is added during prosecution, the examiner must determine whether there is antecedent basis in the original disclosure for the material shown in hatching in the sectional view (37 CFR 1.84(h)(3) and MPEP § 608.02).

II. SURFACE SHADING

While surface shading is not required under 37 CFR 1.152, it may be necessary in particular cases to shade the figures to show clearly the character and contour of all surfaces of any 3-dimensional aspects of the design. Surface shading is also necessary to dis­tinguish between any open and solid areas of the arti­cle. However, surface shading should not be used on unclaimed subject matter, shown in broken lines, to avoid confusion as to the scope of the claim.

Lack of appropriate surface shading in the drawing as filed may render the design nonenabling >and indefinite< under 35 U.S.C. 112, *>first and second paragraphs<. Additionally, if the surface shape is not evident from the disclosure as filed, the addition of surface shading after filing may comprise new matter. Solid black surface shading is not permitted except when used to represent the color black as well as color contrast. Oblique line shading must be used to show transparent, translucent and highly polished or reflec­tive surfaces, such as a mirror. A contrast in materials may be shown by using line shading and stippling to differentiate between the areas; such technique broadly claims this surface treatment without being limited to specific colors or materials.

Form paragraph 15.49 may be used to notify appli­cant that surface shading is necessary.

¶ 15.49 Surface Shading Necessary

The drawing figures should be appropriately and adequately shaded to show clearly the character and/or contour of all surfaces represented. See 37 CFR 1.152. This is of particular importance in the showing of three (3) dimensional articles where it is neces­sary to delineate plane, concave, convex, raised, and/or depressed surfaces of the subject matter, and to distinguish between open and closed areas. Solid black surface shading is not permitted except when used to represent the color black as well as color con­trast.

III. BROKEN LINES

The two most common uses of broken lines are to disclose the environment related to the claimed design and to define the bounds of the claim. Structure that is not part of the claimed design, but is considered nec­essary to show the environment in which the design is associated, may be represented in the drawing by bro­ken lines. This includes any portion of an article in which the design is embodied or applied to that is not considered part of the claimed design. In re Zahn, 617 F.2d 261, 204 USPQ 988 (CCPA 1980). A broken line showing is for illustrative purposes only and forms no part of the claimed design or a specified embodiment thereof. A boundary line may be shown in broken lines if it is not intended to form part of the claimed design. Applicant may choose to define the bounds of a claimed design with broken lines when the bound­ary does not exist in reality in the article embodying the design. It would be understood that the claimed design extends to the boundary but does not include the boundary. Where no boundary line is shown in a design application as originally filed, but it is clear from the design specification that the boundary of the claimed design is a straight broken line connecting the ends of existing full lines defining the claimed design, applicant may amend the drawing(s) to add a straight broken line connecting the ends of existing full lines defining the claimed subject matter. Any broken line boundary other than a straight broken line may consti­tute new matter prohibited by 35 U.S.C. 132 and 37 CFR 1.121(f).

However, broken lines are not permitted for the purpose of indicating that a portion of an article is of less importance in the design. In re Blum, 374 F.2d 904, 153 USPQ 177 (CCPA 1967). Broken lines may not be used to show hidden planes and surfaces which cannot be seen through opaque materials. The use of broken lines indicates that the environmental structure or the portion of the article depicted in broken lines forms no part of the design, and is not to indicate the relative importance of parts of a design.

In general, when broken lines are used, they should not intrude upon or cross the showing of the claimed design and should not be of heavier weight than the lines used in depicting the claimed design. When bro­ken lines cross over the full line showing of the claimed design and are defined as showing environ­ment, it is understood that the surface which lies

Rev. 2, May 2004 1500-8

DESIGN PATENTS 1503.02

beneath the broken lines is part of the claimed design. When the broken lines crossing over the design are defined as boundaries, it is understood that the area within the broken lines is not part of the claimed design. Therefore, when broken lines are used which cross over the full line showing of the design, it is critical that the description of the broken lines in the specification explicitly identifies their purpose so that the scope of the claim is clear. As it is possible that broken lines with different purposes may be included in a single application, the description must make a visual distinction between the two purposes; such as --The broken lines immediately adjacent the shaded areas represent the bounds of the claimed design while all other broken lines are >directed to environ­ment and are< for illustrative purposes only; the bro­ken lines form no part of the claimed design.-- Where a broken line showing of environmental structure must necessarily cross or intrude upon the representa­tion of the claimed design and obscures a clear under­standing of the design, such an illustration should be included as a separate figure in addition to the other figures which fully disclose the subject matter of the design. Further, surface shading should not be used on unclaimed subject matter shown in broken lines to avoid confusion as to the scope of the claim.

The following form paragraphs may be used, where appropriate, to notify applicant regarding the use of broken lines in the drawings.

¶ 15.50 Design Claimed Shown in Full Lines The ornamental design which is being claimed must be shown

in solid lines in the drawing. Dotted lines for the purpose of indi­cating unimportant or immaterial features of the design are not permitted. There are no portions of a claimed design which are immaterial or unimportant. See In re Blum, 374 F.2d 904, 153 USPQ 177 (CCPA 1967) and In re Zahn, 617 F.2d 261, 204 USPQ 988 (CCPA 1980).

¶ 15.50.01 Use of Broken Lines in Drawing Environmental structure may be illustrated by broken lines in

the drawing if clearly designated as environment in the specifica­tion. See 37 CFR 1.152 and MPEP § 1503.02, subsection III.

¶ 15.50.02 Description of Broken Lines The following statement must be used to describe the broken

lines on the drawing (MPEP § 1503.02, subsection III): -- The broken line showing of [1] is for illustrative purposes

only and forms no part of the claimed design. -­The above statement [2] inserted in the specification preceding

the claim.

Examiner Note:

1. In bracket 1, insert name of structure. 2. In bracket 2, insert --must be-- or --has been--.

¶ 15.50.03 Objectionable Use of Broken Lines In Drawings

Dotted lines or broken lines used for environmental structure should not cross or intrude upon the representation of the claimed design for which design protection is sought. Such dotted lines may obscure the claimed design and render the disclosure indefi­nite (35 U.S.C. 112).

¶ 15.50.04 Proper Drawing Disclosure With Use of Broken Lines

Where broken lines showing environmental structure obscure the full line disclosure of the claimed design, a separate figure showing the broken lines must be included in the drawing in addi­tion to the figures showing only claimed subject matter, 35 U.S.C. 112, first paragraph.

¶ 15.50.05 Description of Broken Lines as Boundary of Design

The following statement must be used to describe the broken line boundary of a design (MPEP § 1503.02, subsection III):

-- The broken line(s) which define the bounds of the claimed design form no part thereof.--

IV. SURFACE TREATMENT

The ornamental appearance of a design for an arti­cle includes its shape and configuration as well as any indicia, contrasting color or materials, graphic repre­sentations, or other ornamentation applied to the arti­cle (“surface treatment”). Surface treatment must be applied to or embodied in an article of manufacture. Surface treatment, per se (i.e., not applied to or embodied in a specific article of manufacture), is not proper subject matter for a design patent under 35 U.S.C. 171. Surface treatment may either be disclosed with the article to which it is applied or in which it is embodied and must be shown in full lines or in broken lines (if unclaimed) to meet the statutory requirement. See MPEP § 1504.01. The guidelines that apply for disclosing computer-generated icons apply equally to all types of surface treatment. See MPEP § 1504.01(a).

A disclosure of surface treatment in a design draw­ing or photograph will normally be considered as prima facie evidence that the inventor considered the surface treatment shown *>as< an integral part of the claimed design. An amendment canceling two-dimen-sional surface treatment or reducing it to broken lines will be permitted if it is clear from the application that applicant had possession of the >underlying configu-

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1503.02 MANUAL OF PATENT EXAMINING PROCEDURE

ration of the< basic design without the surface treat­ment at the time of filing of the application. See In re Daniels, 144 F.3d 1452, 1456-57, 46 USPQ2d 1788, 1790 (Fed. Cir. 1998). Applicant may remove surface treatment shown in a drawing or photograph of a design without such removal being treated as new matter, provided that the surface treatment does not obscure or override the underlying design. The removal of three-dimensional surface treatment that is an integral part of the configuration of the claimed design, for example, removal of beading, grooves, and ribs, will introduce prohibited new matter as the underlying configuration revealed by this amendment would not be apparent in the application as originally filed. See MPEP § 1504.04, subsection *>II<.

V. PHOTOGRAPHS AND COLOR DRAW­INGS

Drawings are normally required to be submitted in black ink on white paper. See 37 CFR 1.84(a)(1). Pho­tographs are acceptable only in applications in which the invention is not capable of being illustrated in an ink drawing or where the invention is shown more clearly in a photograph (e.g., photographs of orna­mental effects are acceptable). See also 37 CFR 1.81(c) and 1.83(c), and MPEP § 608.02.

Photographs submitted in lieu of ink drawings must comply with 37 CFR 1.84(b). Only one set of black and white photographs is required. Color photographs and color drawings may be submitted in design appli­cations if filed with a petition under 37 CFR 1.84(a)(2). Petitions to accept color photographs or color drawings will be considered by the **>Primary Examiners as delegated by the TC Director<. A grant­able petition under 37 CFR 1.84(a)(2) must explain **>that< color drawings or color photographs are necessary >because color is an integral part of the claimed design.< **>Any other explanation as to why color drawings or color photographs are necessary will normally not be acceptable. A grantable petition must also be< accompanied by: (1) the fee set forth in 37 CFR 1.17(h); (2) three sets of the color photographs or color drawings; and (3) an amendment to the specification inserting the follow­ing statement --The file of this patent contains at least one drawing/photograph executed in color. Copies of this patent with color drawing(s)/photograph(s) will be provided by the Office upon request and payment

of the necessary fee.-- See 37 CFR 1.84(a)(2)(iv) and MPEP § 608.02. The U.S. Patent and Trademark Office has waived 37 CFR 1.84(a)(2)(iii), and is no longer requiring a black and white photocopy of any color drawing or photograph. See 1246 O.G. 106 (May 22, 2001). If the photographs are not of suffi­cient quality so that all details in the photographs are reproducible, this will form the basis of subsequent objection to the quality of the photographic disclo­sure. No application will be issued until objections directed to the quality of the photographic disclosure have been resolved and acceptable photographs have been submitted and approved by the examiner. If the details, appearance and shape of all the features and portions of the design are not clearly disclosed in the photographs, this would form the basis of a rejection of the claim under 35 U.S.C. 112, first *>and second paragraphs<, as nonenabling >and indefinite<.

Photographs and ink drawings must not be com­bined in a formal submission of the visual disclosure of the claimed design in one application. The intro­duction of both photographs and ink drawings in a design application would result in a high probability of inconsistencies between corresponding elements on the ink drawings as compared with the photographs.

When filing informal photographs or informal drawings with the original application, a disclaimer included in the specification or on the photographs themselves may be used to disclaim any surface orna­mentation, logos, written matter, etc. which form no part of the claimed design. See also MPEP § 1504.04, subsection *>II<.

Color photographs and color drawings may be sub­mitted in design applications if filed with a petition under 37 CFR 1.84(a)(2). Color may also be shown in pen and ink drawings by lining the surfaces of the design for color in accordance with the symbols in MPEP § 608.02. If the formal drawing in an applica­tion is lined for color, the following statement should be inserted in the specification for clarity and to avoid possible confusion that the lining may be surface treatment --The drawing is lined for color.-- However, lining a surface for color may interfere with a clear showing of the design as required by 35 U.S.C. 112, first paragraph, as surface shading cannot be used to define the contours of the design.

If color photographs or color drawings are filed with the original application, color will be considered

Rev. 2, May 2004 1500-10

1504 DESIGN PATENTS

an integral part of the disclosed and claimed design. The omission of color in later filed formal photo­graphs or drawings will be permitted if it is clear from the application that applicant had possession of the >underlying configuration of the< basic design with­out the color at the time of filing of the application. See In re Daniels, 144 F.3d 1452, 1456-57, 46 USPQ2d 1788, 1790 (Fed. Cir. 1998) and MPEP 1504.04, subsection *>II<. Note also 37 CFR 1.152, which requires that the disclosure in formal photo­graphs be limited to the design for the article claimed.

**

¶ 15.05.041 Informal Color Drawing(s)/Photograph(s) Submitted

Informal color photographs or drawings have been submitted for the purposes of obtaining a filing date. When formal drawings are submitted, any showing of color in a black and white drawing is limited to the symbols used to line a surface to show color (MPEP § 608.02). Lining entire surfaces of a design to show color(s) may interfere with a clear showing of the design as required by 35 U.S.C. 112 because surface shading cannot be used simultaneously to define the contours of those surfaces. However, a surface may be partially lined for color with a description that the color extends across the entire surface; this technique would allow for the use of shading on the rest of the surface showing the contours of the design (37 CFR 1.152). In the alternative, a sepa­rate view, properly shaded to show the contours of the design but omitting the color(s), may be submitted if identified as shown only for clarity of illustration.

In any drawing lined for color, the following special descrip­tion must be inserted in the specification (the specific colors may be identified for clarity):

--The drawing is lined for color.--However, some designs disclosed in informal color photo-

graphs/drawings cannot be depicted in black and white drawings lined for color. For example, a design may include multiple shades of a single color which cannot be accurately represented by the single symbol for a specific color. Or, the color may be a shade other than a true primary or secondary color as represented by the drafting symbols and lining the drawing with one of the drafting symbols would not be an exact representation of the design as originally disclosed. In these situations, applicant may file a peti­tion to accept formal color drawings or color photographs under 37 CFR 1.84(a)(2).

**>

¶ 15.45 Color Photographs/Drawings As Informal Drawings

For filing date purposes, in those design patent applications containing color photographs/drawings contrary to the require­ment for ink drawings or black and white photographs, the Office

of Initial Patent Examination has been authorized to construe the color photographs/drawings as informal drawings rather than to hold the applications incomplete as filed. By so doing, the Patent and Trademark Office can accept the applications without requir­ing applicants to file petitions to obtain the original deposit date as the filing date. However, color photographs or color drawings are not permitted in design applications in the absence of a grantable petition pursuant to 37 CFR 1.84(a)(2). Before the color photo­graphs or color drawings in this application can be treated as for­mal drawings, applicant must submit [1].

Examiner Note: In bracket 1, insert --a petition--, --the fee--, --statement in the

specification--, --explanation of why color disclosure is neces­sary--, and -- three full sets of color photographs or color draw­ings--.

<

** 1504 Examination [R-2]

In design patent applications, ornamentality, nov­elty*>,< nonobviousness >enablement and definite­ness< are necessary prerequisites to the grant of a patent. The inventive novelty or unobviousness resides in the ornamental shape or configuration of the article in which the design is embodied or the sur­face ornamentation which is applied to or embodied in the design.

Novelty and nonobviousness of a design claim must generally be determined by a search in the perti­nent design classes. It is also mandatory that the search be extended to the mechanical classes encom­passing inventions of the same general type. Catalogs and trade journals >as well as available foreign patent databases< are also to be consulted.

If the examiner determines that the claim of the design patent application does not satisfy the statutory requirements, the examiner will set forth in detail, and may additionally summarize, the basis for all rejec­tions in an Official action. *>If a reply to an Office action overcomes a rejection either by way of an amendment to the claim or by providing convincing arguments that the rejection should be withdrawn, that rejection must be indicated as withdrawn in the next Office action, unless such action is a notice of allowability. Likewise, any amendment to the specifi­cation or claim, or new drawing or drawing correction submitted in reply to an objection or objections in an Office action must be acknowledged in the next Office action, unless such action is a notice of

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1504.01 MANUAL OF PATENT EXAMINING PROCEDURE

allowability. When< an examiner determines that the claim in a design application is patentable under all statutory requirements, but formal matters still need to be addressed and corrected prior to allowance, an Ex parte Quayle action will be sent to applicant indicat­ing allowability of the claim and identifying the nec­essary corrections.

¶ 15.19.01 Summary Statement of Rejections The claim stands rejected under [1].

Examiner Note: 1. Use as summary statement of rejection(s) in Office action. 2. In bracket 1, insert appropriate basis for rejection, i.e., statu­tory provisions, etc.

¶ 15.58 Claimed Design Is Patentable (Ex parte Quayle Actions)

The claimed design is patentable over the references cited.

¶ 15.72 Quayle Action This application is in condition for allowance except for the

following formal matters: [1]. Prosecution on the merits is closed in accordance with the

practice under Ex parte Quayle, 1935 C.D. 11, 453 O.G. 213. A shortened statutory period for reply to this action is set to

expire TWO MONTHS from the mailing date of this letter.

>If it is determined that a rejection of the claim should be given after a reply to a Quayle action, the indication of allowability set forth in the previous action must be withdrawn and prosecution reopened using the following form paragraph:

¶ 15.90 Indication of allowability withdrawn The indication of allowability set forth in the previous action

is withdrawn and prosecution is reopened in view of the following new ground of rejection.

< With respect to pro se design applications, the

examiner should notify applicant in the first Office action that it may be desirable for applicant to employ the services of a registered patent attorney or agent to prosecute the application. Applicant should also be notified that the U.S. Patent and Trademark Office cannot aid in the selection of an attorney or agent. If it appears that patentable subject matter is present and the disclosure of the claimed design complies with the requirements of 35 U.S.C.112, the examiner should include a copy of the “Guide To Filing A Design Patent Application” with the first Office action and notify applicant that it may be desirable to employ the services of a professional patent draftsperson familiar

with design practice to prepare the formal drawings. Applicant should also be notified that the U.S. Patent and Trademark Office cannot aid in the selection of a draftsperson. The following form paragraph, where appropriate, may be used.

¶ 15.66 Employ Services of Patent Attorney or Agent (Design Application Only)

As the value of a design patent is largely dependent upon the skillful preparation of the drawings and specification, applicant might consider it desirable to employ the services of a registered patent attorney or agent. The U.S. Patent and Trademark Office cannot aid in the selection of an attorney or agent.

Applicant is advised of the availability of the publication “Attorneys and Agents Registered to Practice Before the U.S. Patent and Trademark Office.” This publication is for sale by the Superintendent of Documents, U.S. Government Printing Office, Washington, D.C. 20402.

¶ 15.66.01 Employ Services of Professional Patent Draftsperson (Design Application Only)

As the value of a design patent is largely dependent upon the skillful preparation of the drawings, applicant might consider it desirable to employ the services of a professional patent draftsper­son familiar with design practice. The U.S. Patent and Trademark Office cannot aid in the selection of a draftsperson.

Examiner Note: This form paragraph should only be used in pro se applications

where it appears that patentable subject matter is present and the disclosure of the claimed design complies with the requirements of 35 U.S.C. 112.

1504.01 Statutory Subject Matter for Designs

35 U.S.C. 171. Patents for designs. Whoever invents any new, original, and ornamental design for

an article of manufacture may obtain a patent therefor, subject to the conditions and requirements of this title.

The provisions of this title relating to patents for inventions shall apply to patents for designs, except as otherwise provided.

The language “new, original and ornamental design for an article of manufacture” set forth in 35 U.S.C. 171 has been interpreted by the case law to include at least three kinds of designs:

(A) a design for an ornament, impression, print, or picture applied to or embodied in an article of man­ufacture (surface indicia);

(B) a design for the shape or configuration of an article of manufacture; and

(C) a combination of the first two categories.

Rev. 2, May 2004 1500-12

DESIGN PATENTS 1504.01(a)

See In re Schnell, 46 F.2d 203, 8 USPQ 19 (CCPA 1931); Ex parte Donaldson, 26 USPQ2d 1250 (Bd. Pat. App. & Int. 1992).

A picture standing alone is not patentable under 35 U.S.C. 171. The factor which distinguishes statutory design subject matter from mere picture or ornamentation, per se (i.e., abstract design), is the embodiment of the design in an article of manufac­ture. Consistent with 35 U.S.C. 171, case law and USPTO practice, the design must be shown as applied to or embodied in an article of manufacture.

A claim to a picture, print, impression, etc. per se, that is not applied to or embodied in an article of man­ufacture should be rejected under 35 U.S.C. 171 as directed to nonstatutory subject matter. The following paragraphs may be used.

¶ 15.07.01 Statutory Basis, 35 U.S.C. 171 The following is a quotation of 35 U.S.C. 171:

Whoever invents any new, original, and ornamental design for an article of manufacture may obtain a patent therefor, subject to the conditions and requirements of this title.

The provisions of this title relating to patents for inven­tions shall apply to patents for designs, except as otherwise provided.

¶ 15.09 35 U.S.C. 171 Rejection The claim is rejected under 35 U.S.C. 171 as directed to non­

statutory subject matter because the design is not shown embodied in or applied to an article.

Examiner Note: This rejection should be used when the claim is directed to sur­

face treatment which is not shown with an article in either full or broken lines.

¶ 15.44 Design Inseparable From Article to Which Applied Design is inseparable from the article to which it is applied,

and cannot exist alone merely as a scheme of ornamentation. It must be a definite preconceived thing, capable of reproduction, and not merely the chance result of a method or of a combination of functional elements (35 U.S.C. 171; 35 U.S.C. 112, first and second paragraphs). See Blisscraft of Hollywood v.United Plas­tics Co., 189 F. Supp. 333, 127 USPQ 452 (S.D.N.Y. 1960), 294 F.2d 694, 131 USPQ 55 (2d Cir. 1961).

Form paragraphs 15.38 and 15.40 may be used in a second or subsequent action, where appropriate (see MPEP § 1504.02).

1504.01(a) Computer-Generated Icons

To be directed to statutory subject matter, design applications for computer-generated icons must com­ply with the “article of manufacture” requirement of 35 U.S.C. 171.

I. GUIDELINES FOR EXAMINATION OF DESIGN PATENT APPLICATIONS FOR COMPUTER-GENERATED ICONS

The following guidelines have been developed to assist USPTO personnel in determining whether design patent applications for computer-generated icons comply with the “article of manufacture” requirement of 35 U.S.C. 171.

A. General Principle Governing Compliance With the “Article of Manufacture” Require­ment

Computer-generated icons, such as full screen displays and individual icons, are 2-dimensional images which alone are surface ornamentation. See, e.g., Ex parte Strijland, 26 USPQ2d 1259 (Bd. Pat. App. & Int. 1992) (computer-generated icon alone is merely surface ornamentation). The USPTO considers designs for computer-generated icons embodied in articles of manufacture to be statutory subject matter eligible for design patent protection under 35 U.S.C. 171. Thus, if an application claims a computer-gener-ated icon shown on a computer screen, monitor, other display panel, or a portion thereof, the claim complies with the “article of manufacture” requirement of 35 U.S.C. 171. Since a patentable design is inseparable from the object to which it is applied and cannot exist alone merely as a scheme of surface ornamentation, a computer-generated icon must be embodied in a com­puter screen, monitor, other display panel, or portion thereof, to satisfy 35 U.S.C. 171. See MPEP § 1502.

“We do not see that the dependence of the existence of a design on something outside itself is a reason for holding it is not a design ‘for an article of manufac­ture.’ ” In re Hruby, 373 F.2d 997, 1001, 153 USPQ 61, 66 (CCPA 1967) (design of water fountain patent­able design for an article of manufacture). The depen­dence of a computer-generated icon on a central processing unit and computer program for its exist­ence itself is not a reason for holding that the design is not for an article of manufacture.

1500-13 Rev. 2, May 2004

1504.01(a) MANUAL OF PATENT EXAMINING PROCEDURE

B. Procedures for Evaluating Whether Design Patent Applications Drawn to Computer-Generated Icons Comply With the “Article of Manufacture” Requirement

USPTO personnel shall adhere to the following procedures when reviewing design patent applications drawn to computer-generated icons for compliance with the “article of manufacture” requirement of 35 U.S.C. 171.

(A) Read the entire disclosure to determine what the applicant claims as the design and to determine whether the design is embodied in an article of manu­facture. 37 CFR 1.71 and 1.152-1.154.

Since the claim must be in formal terms to the design “as shown, or as shown and described,” the drawing provides the best description of the claim. 37 CFR 1.153.

(1) Review the drawing to determine whether a computer screen, monitor, other display panel, or por­tion thereof, is shown. 37 CFR 1.152.

Although a computer-generated icon may be embodied in only a portion of a computer screen, monitor, or other display panel, the drawing “must contain a sufficient number of views to constitute a complete disclosure of the appearance of the article.” 37 CFR 1.152. In addition, the drawing must comply with 37 CFR 1.84.

(2) Review the title to determine whether it clearly describes the claimed subject matter. 37 CFR 1.153.

The following titles do not adequately describe a design for an article of manufacture under 35 U.S.C. 171: “computer icon”; or “icon.” On the other hand, the following titles do adequately describe a design for an article of manufacture under 35 U.S.C. 171: “computer screen with an icon”; “display panel with a computer icon”; “portion of a computer screen with an icon image”; “portion of a display panel with a computer icon image”; or “portion of a monitor dis­played with a computer icon image.”

(3) Review the specification to determine whether a characteristic feature statement is present.

37 CFR 1.71. If a characteristic feature statement is present, determine whether it describes the claimed subject matter as a computer-generated icon embod­ied in a computer screen, monitor, other display panel, or portion thereof. See McGrady v. Aspenglas Corp., 487 F.2d 859, 208 USPQ 242 (S.D.N.Y. 1980) (descriptive statement in design patent application narrows claim scope).

(B) If the drawing does not depict a computer-generated icon embodied in a computer screen, moni­tor, other display panel, or a portion thereof, in either solid or broken lines, reject the claimed design under 35 U.S.C. 171 for failing to comply with the article of manufacture requirement.

(1) If the disclosure as a whole does not sug­gest or describe the claimed subject matter as a com-puter-generated icon embodied in a computer screen, monitor, other display panel, or portion thereof, indi­cate that:

(a) The claim is fatally defective under 35 U.S.C. 171; and

(b) Amendments to the written description, drawings and/or claim attempting to overcome the rejection will ordinarily be entered, however, any new matter will be required to be canceled from the writ­ten description, drawings and/or claims. If new matter is added, the claim should be rejected under 35 U.S.C. 112, first paragraph.

(2) If the disclosure as a whole suggests or describes the claimed subject matter as a computer-generated icon embodied in a computer screen, moni­tor, other display panel, or portion thereof, indicate that the drawing may be amended to overcome the rejection under 35 U.S.C. 171. Suggest amendments which would bring the claim into compliance with 35 U.S.C. 171.

(C) Indicate all objections to the disclosure for failure to comply with the formal requirements of the Rules of Practice in Patent Cases. 37 CFR 1.71, 1.81-1.85, and 1.152-1.154. Suggest amendments which would bring the disclosure into compliance with the formal requirements of the Rules of Practice in Patent Cases.

Rev. 2, May 2004 1500-14

DESIGN PATENTS 1504.01(c)

(D) Upon reply by applicant: (1) Enter any amendments; and (2) Review all arguments and the entire record,

including any amendments, to determine whether the drawing, title, and specification clearly disclose a computer-generated icon embodied in a computer screen, monitor, other display panel, or portion thereof.

(E) If, by a preponderance of the evidence (see In re Oetiker, 977 F.2d 1443, 1445, 24 USPQ2d 1443, 1444 (Fed. Cir. 1992) (“After evidence or argument is submitted by the applicant in response, patentability is determined on the totality of the record, by a prepon­derance of evidence with due consideration to persua­siveness of argument.”)), the applicant has established that the computer-generated icon is embodied in a computer screen, monitor, other display panel, or por­tion thereof, withdraw the rejection under 35 U.S.C. 171.

II. EFFECT OF THE GUIDELINES ON PENDING DESIGN APPLICATIONS DRAWN TO COMPUTER-GENERATED ICONS

USPTO personnel shall follow the procedures set forth above when examining design patent applica­tions for computer-generated icons pending in the USPTO as of April 19, 1996.

III. TREATMENT OF TYPE FONTS

Traditionally, type fonts have been generated by solid blocks from which each letter or symbol was produced. Consequently, the USPTO has historically granted design patents drawn to type fonts. USPTO personnel should not reject claims for type fonts under 35 U.S.C. 171 for failure to comply with the “article of manufacture” requirement on the basis that more modern methods of typesetting, including com-puter-generation, do not require solid printing blocks.

1504.01(b) Design Comprising Multiple Articles or Multiple Parts Embodied in a Single Article

While the claimed design must be embodied in an article of manufacture as required by 35 U.S.C. 171, it may encompass multiple articles or multiple parts within that article. Ex parte Gibson, 20 USPQ 249

(Bd. App. 1933). Multiple independent parts forming the claimed design may be disclosed in the drawing with or without the article being shown in broken lines. If the article is not disclosed in broken lines in the drawing, then the title must disclose the article in which the design is embodied and the association of the claimed parts must be shown by a bracket. In either case, the title must clearly define the articles or parts as a single entity, for example, set, pair, combi­nation, unit, assembly, etc. See MPEP § 1503.01.

1504.01(c) Lack of Ornamentality [R-2]

I. FUNCTIONALITY VS. ORNAMENTAL­ITY

An ornamental feature or design has been defined as one which was “created for the purpose of orna­menting” and cannot be the result or “merely a by-product” of functional or mechanical considerations. In re Carletti, 328 F.2d 1020, 140 USPQ 653, 654 (CCPA 1964); Blisscraft of Hollywood v. United Plastic Co., 189 F. Supp. 333, 337, 127 USPQ 452, 454 (S.D.N.Y. 1960), aff ’d, 294 F.2d 694, 131 USPQ 55 (2d Cir. 1961). It is clear that the ornamentality of the article must be the result of a conscious act by the inventor, as 35 U.S.C. 171 requires that a patent for a design be given only to “whoever invents any new, original, and ornamental design for an article of man­ufacture.” Therefore, for a design to be ornamental within the requirements of 35 U.S.C. 171, it must be “created for the purpose of ornamenting.” In re Car­letti, 328 F.2d 1020, 1022, 140 USPQ 653, 654 (CCPA 1964).

To be patentable, a design must be “primarily orna­mental.” “In determining whether a design is prima­rily functional or primarily ornamental the claimed design is viewed in its entirety, for the ultimate ques­tion is not the functional or decorative aspect of each separate feature, but the overall appearance of the arti­cle, in determining whether the claimed design is dic­tated by the utilitarian purpose of the article.” L. A. Gear Inc. v. Thom McAn Shoe Co., 988 F.2d 1117, 1123, 25 USPQ2d 1913, 1917 (Fed. Cir. 1993). The court in Norco Products, Inc. v. Mecca Development, Inc., 617 F.Supp. 1079, 1080, 227 USPQ 724, 725 (D. Conn. 1985), held that a “primarily functional inven­tion is not patentable” as a design.

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A determination of ornamentality is not a quantita­tive analysis based on the size of the ornamental fea­ture or features but rather a determination based on their ornamental contribution to the design as a whole.

While ornamentality must be based on the entire design, “[i]n determining whether a design is prima­rily functional, the purposes of the particular elements of the design necessarily must be considered.” Power Controls Corp. v. Hybrinetics, Inc., 806 F.2d 234, 240, 231 USPQ 774, 778 (Fed. Cir. 1986). The court in Smith v. M & B Sales & Manufacturing, 13 USPQ2d 2002, 2004 (N. D. Cal. 1990), states that if “significant decisions about how to put it [the item] together and present it in the marketplace were informed by primarily ornamental considerations”, this information may establish the ornamentality of a design.

“However, a distinction exists between the func­tionality of an article or features thereof and the func­tionality of the particular design of such article or features thereof that perform a function.” Avia Group International Inc. v. L. A. Gear California Inc., 853 F.2d 1557, 1563, 7 USPQ2d 1548, 1553 (Fed. Cir. 1988). The distinction must be maintained between the ornamental design and the article in which the design is embodied. The design for the arti­cle cannot be assumed to lack ornamentality merely because the article of manufacture would seem to be primarily functional. **>

II. < ESTABLISHING A PRIMA FACIE BASIS FOR REJECTIONS UNDER 35 U.S.C. 171

To properly reject a claimed design under 35 U.S.C. 171 on the basis of a lack of ornamentality, an exam­iner must make a prima facie showing that the claimed design lacks ornamentality and provide a suf­ficient evidentiary basis for factual assumptions relied upon in such showing. The court in In re Oetiker, 977 F.2d 1443, 1445, 24 USPQ2d 1443, 1444 (Fed. Cir. 1992), stated that “the examiner bears the initial bur­den, on review of the prior art or on any other ground, of presenting a prima facie case of unpatentability.”

>The proper evidentiary basis for a rejection under 35 U.S.C. 171 that a claim is lacking in ornamentality is an evaluation of the appearance of the design itself. The examiner’s knowledge of the art, a reply to a let­ter of inquiry, a brochure emphasizing the functional/

mechanical features of the design, the specification of an analogous utility patent (the applicant’s or another inventor), or information provided in the specification may be used to supplement the analysis of the design. If a design is embodied in a specific mechanical arti­cle, the analysis that the design lacks ornamentality because its appearance is dictated by functional requirements should be supported by reference to util­ity patents or some other source of information about the function of the design. If the design is embodied in an article that has a more general use, such as a clip, the analysis and explanation as to why the design lacks ornamentality should be detailed and specific. The examiner’s contention that the specific appear­ance of the claimed design lacks ornamentality may be supported by the holding of the court in In re Car­letti et al., 328 F.2d 1020, 140 USPQ 653 (CCPA 1964), that a design to be patentable must be “created for the purpose of ornamenting” the article in which it is embodied. The presence or lack of ornamentality must be made on a case by case basis.

Knowledge that the article would be hidden during its end use based on the examiner’s experience in a given art or information that may have been submitted in the application itself would not be considered prima facie evidence of the functional nature of the design. See Seiko Epson Corp v. Nu-Kote Int’l Inc., 190 F.3d 1360, 52 USPQ2d 1011 (Fed. Cir. 1999). “Visibility during an article’s ‘normal use’ is not a statutory requirement of §171, but rather a guideline for courts to employ in determining whether the pat­ented features are ‘ornamental’.” Larson v. Classic Corp., 683 F. Supp. 1202, 7 USPQ2d 1747 (N.D. Ill. 1988). If there is sufficient evidence to show that a specific design “is clearly intended to be noticed dur­ing the process of sale and equally clearly intended to be completely hidden from view in the final use,” it is not necessary that a rejection be made under 35 U.S.C. 171. In re Webb, 916 F.2d 1553, 1558, 16 USPQ2d 1433, 1436 (Fed. Cir. 1990). The mere fact that an article would be hidden during its ultimate end use is not the basis for a rejection under 35 U.S.C. 171, but this information provides additional evidence to be used in support of the contention that the design lacks ornamentality. The only basis for rejecting a claim under 35 U.S.C. 171 as lacking in ornamentality is an evaluation of the design itself in light of addi­tional information, such as that identified above.<

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Examples of proper evidentiary basis for a rejection under 35 U.S.C. 171 that a claim is lacking in orna­mentality would be: (A) common knowledge in the art; (B) the appearance of the design itself; (C) the specification of a related utility patent; >or< (D) information provided in the specification**.

A rejection under 35 U.S.C. 171 for lack of orna­mentality must be supported by evidence and rejec­tions should not be made in the absence of such evidence. *>

III. < REJECTIONS MADE UNDER 35 U.S.C. 171

Rejections under 35 U.S.C. 171 for lack of orna­mentality based on a proper prima facie showing fall into two categories:

(A) a design visible in its ultimate end use which is primarily functional based on the evidence of record; or

(B) a design not visible in its ** >normal and intended use as evidence that its appearance is not a matter of concern.< In re Stevens, 173 F.2d 1015, 81 USPQ 362 (CCPA 1949) ** >;< In re Webb, 916 F.2d 1553, 1558, 16 USPQ2d 1433, 1436 (Fed. Cir. 1990).

When the examiner has established a proper prima facie case of lack of ornamentality, “the burden of coming forward with evidence or argument shifts to the applicant.” In re Oetiker, 977 F.2d 1443, 1445, 24 USPQ2d 1443, 1444 (Fed. Cir. 1992). A rejection under 35 U.S.C. 171 for lack of ornamentality may be overcome by providing evidence from the inventor himself or a representative of the company that com­missioned the design that there was an intent to create a design for the “purpose of ornamenting.” In re Car­letti, 328 F.2d 1020, 1022, 140 USPQ 653, 654 (CCPA 1964). >Attorney’s arguments are not a substitute for evidence. Once a proper prima facie case of lack of ornamentality is established by the examiner, it is incumbent upon applicant to come forth with countervailing evidence to rebut the rejec­tion made by the examiner. Evidence may be provided by the applicant or a representative of the company which commissioned the design to establish the orna­mentality of the design by providing evidence of the motivation behind the creation of a design. Ex parte Webb, 30 USPQ2d 1064, 1067-68 (Bd. Pat. App. &

Int. 1993).< Form paragraph 15.08 or 15.08.01, where appropriate, may be used to reject a claim under 35 U.S.C. 171 for lack of ornamentality. **>

¶ 15.08 Lack of Ornamentality (Article Visible in End Use) The claim is rejected under 35 U.S.C. 171 as being directed to

nonstatutory subject matter in that it lacks ornamentality. To be patentable, a design must be “created for the purpose of ornament­ing” the article in which it is embodied. See Seiko Epson Corp. v. Nu-Kote Int’l Inc., 190 F.3d 1360, 52 USPQ2d 1011 (Fed. Cir. 1999); Best Lock Corp. v. Ilco Unican Corp., 94 F.3d 1563, 40 USPQ2d 1048 (Fed. Cir. 1996); Avia Group International Inc. v. L. A. Gear California Inc., 853 F.2d 1557, 7 USPQ2d 1548 (Fed. Cir. 1988); Power Controls Corp. v. Hybrinetics, Inc., 806 F.2d 234, 231 USPQ 774 (Fed. Cir. 1986); In re Carletti, 328 F.2d 1020, 140 USPQ 653 (CCPA 1964); Hygienic Specialties Co. v. H.G. Salzman, Inc., 302 F.2d 614, 133 USPQ 96 (2d Cir. 1962);A & H Manufacturing Co. v. Contempo Card Co., 576 F. Supp. 894 , 221 USPQ 67 (D. R.I. 1983); Blisscraft of Hollywood v. United Plastic Co., 189 F.Supp. 333, 127 USPQ 452 (S.D.N.Y. 1960), 294 F.2d 694, 131 USPQ 55 (2d Cir. 1961); Jones v. Progress Ind. Inc.,163 F.Supp. 824, 119 USPQ 92 (D. R.I. 1958); and Ex parte Webb, 30 USPQ2d 1064 (Bd. Pat. App. &Inter. 1993) .

The following evidence establishes a prima facie case of a lack of ornamentality: [1]

An affidavit/declaration under 37 CFR 1.132 may be submitted from applicant or a representative of the company, which commis­sioned the design, explaining specifically and in depth, which fea­tures or area of the claim were created with a concern for the appearance of the design not dictated by function.

Within the above affidavit/declaration, possible alternative ornamental designs which could have served the same function may also be submitted as evidence that the appearance of the claimed design was the result of ornamental considerations. L. A. Gear v. Thom McAn Shoe Co., 988 F.2d 1117, 25 USPQ2d 1913 (Fed. Cir. 1993). Advertisements which emphasize the ornamen­tality of the article embodying the claimed design may also be submitted as evidence to rebut this rejection. Berry Sterling Corp. v. Pescor Plastics Inc., 122 F.3d 1452, 43 USPQ2d 1953 (Fed. Cir. 1997). Evidence that the appearance of the design is ornamental may be shown by distinctness from the prior art as well as an attempt to develop or to maintain consumer recognition of the article embodying the design. Seiko Epson Corp. v. Nu-Kote Int’ l Inc., 190 F.3d 1360, 52 USPQ2d 1011 (Fed. Cir. 1999).

Attorney arguments are not a substitute for evidence to estab­lish the ornamentality of the claim. Ex parte Webb, 30 USPQ2d 1064, 1067-68 (Bd. Pat. App. & Inter. 1993).

Evidence may be provided by the applicant or a representative of the company which commissioned the design to establish the ornamentality of the design by providing evidence of the motivat­ing factors behind the creation of the design. This information will enable the examiner to determine if the design as a whole was cre­ated with “thought of ornament” meeting the requirement of 35 U.S.C. 171 that a design be ornamental. In re Carletti, 328 F.2d 1020, 140 USPQ 653 (CCPA 1964); Ex parte Webb, 30 USPQ2d 1064 (Bd. Pat. App. & Int. 1993).

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Examiner Note: In bracket 1, insert source of evidence of lack of ornamentality,

for example, a utility patent, a brochure, a response to a letter of inquiry, etc.

¶ 15.08.01 Lack of Ornamentality (Article Not Visible in its Normal and Intended Use)

The claim is rejected under 35 U.S.C. 171 as being directed to nonstatutory subject matter in that the design lacks ornamentality. To be patentable, a design must be “created for the purpose of ornamenting” the article in which it is embodied. The fact that the claim is hidden during its normal and intended use establishes that the design would be “primarily functional” and its appearance-would not be a matter of concern. See Seiko Epson Corp. v. Nu-Kote Int’l Inc., 190 F.3d 1360, 52 USPQ2d 1011 (Fed. Cir. 1999); In re Webb, 916 F.2d 1553,16 USPQ 2d 1433 (Fed. Cir. 1990); In re Carletti, 328 F.2d 1020, 140 USPQ 653 (CCPA 1964); In re Cornwall, 230 F.2d 457, 109 USPQ 57 (CCPA 1956); In re Stevens, 173 F.2d 1015, 81 USPQ 362 (CCPA 1949); Larson v. ClassicCorp., 683 F. Supp. 1202, 7 USPQ2d 1747(N.D. Ill. 1988); Norco Products, Inc. v. Mecca Development, Inc., 617 F. Supp. 1079, 227 USPQ 724 (D. Conn. 1985); C & M Fiberglass Septic Tanks, Inc. v. T &N Fiberglass Mfg. Co., 214 USPQ 159(D. S.C. 1981); Blisscraft of Hollywood v. United Plastic Co., 189 F.Supp. 333, 127 USPQ 452 (S.D.N.Y. 1960), 294 F.2d 694, 131 USPQ 55 (2d Cir. 1961); and Ex parte Webb, 30 USPQ 2d 1064 (Bd. Pat. App. & Inter. 1993).

The following evidence establishes a prima facie case of lack of ornamentality: [1]

In an attempt to establish that the appearance of the design is a “matter of concern” during the period between its manufacture and its ultimate end use, applicant may submit a showing that the ornamental appearance of the article was of concern to prospec­tive customers/users or an affidavit/declaration from actual cus-tomers/users attesting to their concern with the design of the article. The “normal use” of a design during its commercial life is “limited to the ordinary function for which it was designed … items are not designed for sale, display, replacement or repair”, Norco Products, inc. v. Mecca Development, Inc., 617 F. Supp. 1079, 227 USPQ 724 (D. Conn. 1985). Visibility during sale, dis­play, replacement or repair does not demonstrate that the design is visible during normal use and will not avoid the requirement that applicant must establish that its ornamental appearance is of con­cern during its commercial life. Unless applicant is directly involved with the sale of the design or works with users of the design, he cannot provide factual evidence as to the reasons for the purchase/selection of the article embodying the design.

It would then be necessary to establish that during this period of visibility the design as a whole was created for the “purpose of ornamenting” or with “thought of ornament,” and therefore, that the design is “primarily ornamental.”

An affidavit/declaration under 37 CFR 1.132 may be submit­ted from applicant or a representative of the company, which com­missioned the design, explaining specifically and in depth, which features or area of the claim were created with a concern for the appearance of the design not dictated by function.

Within the above affidavit/declaration, possible alternative ornamental designs which could have served the same function may also be submitted as evidence that the appearance of the claimed design was the result of ornamental considerations. L. A. Gear v. Thom McAn Shoe Co., 988 F.2d 1117, 25 USPQ2d 1913 (Fed. Cir. 1993). Advertisements which emphasize the ornamen­tality of the article embodying the claimed design may also be submitted as evidence to rebut this rejection. Berry Sterling Corp. v. Pescor Plastics Inc., 122 F.3d 1452, 43 USPQ2d 1953 (Fed. Cir. 1997). Evidence that the appearance of the design is ornamental may be shown by distinctness from the prior art as well as an attempt to develop or to maintain consumer recognition of the article embodying the design. Seiko Epson Corp. v. Nu-Kote Int’ l Inc., 190 F.3d 1360, 52 USPQ2d 1011 (Fed. Cir. 1999).

Attorney arguments are insufficient to establish the ornamen­tality of the claim as only the applicant or a representative of the company which commissioned the design can provide evidence of the motivating factors behind the creation of the design. Power Controls Corp. v. Hybrinetics, Inc., 806 F.2d 234, 231 USPQ 774 (Fed. Cir. 1986); Ex parte Webb, 30 USPQ2d 1064 (Bd. Pat. App. & Inter. 1993).

This information will enable the examiner to determine if the design as a whole was created with “thought of ornament” meet­ing the requirement of 35 U.S.C. 171 that a design be ornamental. (In re Carletti, 328 F.2d 1020, 140 USPQ 653 (CCPA 1964); Ex parte Webb, 30 USPQ2d 1064 (Bd. Pat. App. & Int. 1993)).

Examiner Note: In bracket 1, insert source of evidence of design lacking orna­

mentality, for example, an analysis of the design and a utility patent, a brochure, a response to a letter of inquiry.

<

*>

IV. < EVALUATION OF EVIDENCE SUBMIT­TED TO OVERCOME A REJECTION UN­DER 35 U.S.C. 171

In order to overcome a rejection of the claim under 35 U.S.C. 171 as lacking in ornamentality, applicant must provide evidence that he or she created the design claimed for the “purpose of ornamenting” as required by the court in In re Carletti, 328 F.2d 1020, 1022, 140 USPQ 653, 654 (CCPA 1964). This information must be submitted in the form of an affi­davit or declaration under 37 CFR 1.132 over appli-cant’s signature clearly explaining, specifically and in depth, which areas of the claimed design were created for primarily ornamental reasons. This may be demonstrated by showing that the creation of specific features was done with “thought of ornament.” In re Carletti, 328 F.2d 1020, 1022, 140 USPQ 653, 655 (CCPA 1964). Evidence to show ornamentality

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may also be submitted by way of an affidavit or decla­ration under 37 CFR 1.132 from a representative of the company which commissioned the design, as these sources could establish the intent behind the cre­ation of the design. Applicant may also show that the functional features of the design can be equally accomplished in other ways by giving specific exam­ples which establish that design choice was the basis for the selection of features. Best Lock Corp. v. Ilco Unican Corp., 94 F.3d 1563, 40 USPQ2d 1048 (Fed. Cir. 1996); Ex parte Webb, 30 USPQ2d 1064 (Bd. Pat. App. & Inter. 1993). Attorney arguments are insuffi­cient to establish such intent, as only the applicant can know the motivation behind the creation of a design. Power Controls Corp. v. Hybrinetics, Inc., 806 F.2d 234, 231 USPQ 774 (Fed. Cir. 1986); Ex parte Webb, 30 USPQ2d 1064 (Bd. Pat. App. & Inter. 1993).

The mere display of the article embodying the design at trade shows or its inclusion in catalogs is insufficient to establish ornamentality. Ex parte Webb, 30 USPQ2d 1064 (Bd. Pat. App. & Inter. 1993). There must be some clear and specific indication of the ornamentality of the design in this evidence for it to be given probative weight in overcoming the prima facie lack of ornamentality. Berry Sterling Corp. v. Pescor Plastics Inc., 122 F.3d 1452, 43 USPQ2d 1953 (Fed. Cir. 1997).

The examiner must then evaluate this evidence in light of the design as a whole to decide if the claim is primarily ornamental. It is important to be aware that this determination is not based on the size or amount of the features identified as ornamental but rather on their influence on the overall appearance of the design.

In a rejection of a claim under 35 U.S.C. 171 in which >some of< the evidentiary basis for the rejec­tion is that the design would be hidden during its end use, the applicant must establish that the “article’s design is a ‘matter of concern’ because of the nature of its visibility at some point between its manufacture or assembly and its ultimate use.” In re Webb, 916 F.2d 1553, 1558, 16 USPQ2d 1433, 1436 (Fed. Cir. 1990). >This concern may be shown by the submis­sion of evidence that the appearance of the article was of concern during its period of commercial life by declarations from prospective/actual customers/users attesting that the ornamentality of the article was of concern to them. Unless applicant is directly involved

with the sale of the design or works with users of the design, he or she cannot provide factual evidence as to the reasons for the purchase/selection of the article embodying the design.<

Once applicant has proven that there is a period of visibility during which the ornamentality of the design is a “matter of concern,” it is then necessary to determine whether the claimed design was primarily ornamental during that period. Larson v. Classic Corp., 683 F. Supp. 1202, 7 USPQ2d 1747 (N. D. Ill. 1988). The fact that a design would be visible during its commercial life is not sufficient evidence that the design was “created for the purpose of ornamenting” as required by the court in In re Carletti, 328 F.2d 1020, 1022, 140 USPQ 653, 654 (CCPA 1964). Examiners should follow the standard for determining ornamentality as outlined above.

“The possibility of encasing a heretofore concealed design element in a transparent cover for no reason other than to avoid this rule cannot avoid the visibility [guideline]... , lest it become meaningless.” Norco Products Inc. v. Mecca Development Inc., 617 F. Supp. 1079, 1081, 227 USPQ 724, 726 (D. Conn. 1985). Applicant cannot rely on mere possibilities to provide factual evidence of ornamentality for the claimed design.

The requirements *>for< visibility **>of the design and that it was created for the “purpose of ornamenting” must be met for a rejection under 35 U.S.C. 171 to be overcome if the design would be hid­den during its end use<.

1504.01(d) Simulation

35 U.S.C. 171 requires that a design to be patent­able be “original.” Clearly, a design which simulates an existing object or person is not original as required by the statute. The Supreme Court in Gorham Manu­facturing Co. v. White, 81 U.S. (14 Wall) 511 (1871), described a design as “the thing invented or produced, for which a patent is given.” “The arbitrary chance selection of a form of a now well known and cele­brated building, to be applied to toys, inkstands, paper - weights, etc. does not, in my opinion, evince the slightest exercise of invention....” Bennage v. Phillippi, 1876 C.D. 135, 9 O.G. 1159 (Comm’r Pat. 1876). This logic was reinforced by the CCPA in In re Smith, 25 USPQ 359, 360, 1935 C.D. 565, 566 (CCPA 1935), which stated that “to take a natural

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form, in a natural pose, ... does not constitute inven­tion” when affirming the rejection of a claim to a baby doll. This premise was also applied in In re Smith, 25 USPQ 360, 362, 1935 C.D. 573, 575 (CCPA 1935), which held that a “baby doll simulating the natural features...of a baby without embodying some grotesqueness or departure from the natural form” is not patentable.

Therefore, a claim directed to a design for an article which simulates a well known or naturally occurring object or person should be rejected under 35 U.S.C. 171 as nonstatutory subject matter in that the claimed design lacks originality. Form paragraph 15.08.02 should be used. However, when a claim is rejected on this basis, examiners should provide evidence, if pos­sible, of the appearance of the object, person or natu­rally occurring form in question so that a comparison may be made to the claimed design. Form paragraph 15.08.03 should be used. It would also be appropriate, if the examiner has prior art which anticipates or ren­ders the claim obvious, to reject the claim under either 35 U.S.C. 102 or 103(a) concurrently. In re Wise, 340 F.2d 982, 144 USPQ 354 (CCPA 1965).

¶ 15.08.02 Simulation (Entire Article) The claim is rejected under 35 U.S.C. 171 as being directed to

nonstatutory subject matter in that the design lacks originality. The design is merely simulating [1] which applicant himself did not invent. See In re Smith, 25 USPQ 359, 1935 C.D. 565 (CCPA 1935); In re Smith, 25 USPQ 360, 1935 C.D. 573 (CCPA 1935); and Bennage v. Phillippi, 1876 C.D. 135, 9 O.G. 1159.

Examiner Note: 1. In bracket 1, insert the name of the article or person being simulated, e.g., the White House, Marilyn Monroe, an animal which is not stylized or caricatured in any way, a rock or shell to be used as paperweight, etc. 2. This form paragraph should be followed by form paragraph 15.08.03 when evidence has been cited to show the article or per­son being simulated.

¶ 15.08.03 Explanation of evidence cited in support of simulation rejection

Applicant’s design has in no way departed from the natural appearance of [1]. This reference is not relied on in this rejection but is supplied merely as representative of the usual or typical appearance of [2] in order that the claim may be compared to that which it is simulating.

Examiner Note: 1. In bracket 1, insert name of article or person being simulated and source (patent, publication, etc.). 2. In bracket 2, insert name of article or person being simulated.

1504.01(e) Offensive Subject Matter

Design applications which disclose subject matter which could be deemed offensive to any race, reli­gion, sex, ethnic group, or nationality, such as those which include caricatures or depictions, should be rejected as nonstatutory subject matter under 35 U.S.C. 171. See also MPEP § 608. Form paragraph 15.10 should be used.

¶ 15.10 Offensive Subject Matter The disclosure, and therefore the claim in this application, is

rejected as being offensive and therefore improper subject matter for design patent protection under 35 U.S.C. 171. Such subject matter does not meet the statutory requirements of 35 U.S.C. 171. Moreover, since 37 CFR 1.3 proscribes the presentation of papers which are lacking in decorum and courtesy, and this includes depictions of caricatures in the disclosure, drawings, and/or a claim which might reasonably be considered offensive, such sub­ject matter as presented herein is deemed to be clearly contrary to 37CFR 1.3. See MPEP § 608.

1504.02 Novelty [R-2]

35 U.S.C. 102. Conditions for patentability; novelty and loss of right to patent.

A person shall be entitled to a patent unless — (a) the invention was known or used by others in this coun­

try, or patented or described in a printed publication in this or a foreign country, before the invention thereof by the applicant for patent, or

(b) the invention was patented or described in a printed pub­lication in this or a foreign country or in public use or on sale in this country, more than one year prior to the date of the application for patent in the United States, or

(c) he has abandoned the invention, or (d) the invention was first patented or caused to be patented,

or was the subject of an inventor’s certificate, by the applicant or his legal representatives or assigns in a foreign country prior to the date of the application for patent in this country on an application for patent or inventor’s certificate filed more than twelve months before the filing of the application in the United States, or

**> (e) the invention was described in — (1) an application for

patent, published under section 122(b), by another filed in the United States before the invention by the applicant for patent or (2) a patent granted on an application for patent by another filed in the United States before the invention by the applicant for patent, except that an international application filed under the treaty defined in section 351(a) shall have the effects for the purposes of this subsection of an application filed in the United States only if the international application designated the United States and was published under Article 21(2) of such treaty in the English lan­guage; or<

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(f) he did not himself invent the subject matter sought to be patented, or

(g)(1)during the course of an interference conducted under section 135 or section 291, another inventor involved therein establishes, to the extent permitted in section 104, that before such person’s invention thereof the invention was made by such other inventor and not abandoned, suppressed, or concealed, or (2) before such person’s invention thereof, the invention was made in this country by another inventor who had not abandoned, sup­pressed, or concealed it. In determining priority of invention under this subsection, there shall be considered not only the respective dates of conception and reduction to practice of the invention, but also the reasonable diligence of one who was first to conceive and last to reduce to practice, from a time prior to con­ception by the other.

35 U.S.C. 172. Right of priority. The right of priority provided for by subsections (a) through

(d) of section 119 of this title and the time specified in section 102(d) shall be six months in the case of designs. The right of pri­ority provided for by section 119(e) of this title shall not apply to designs.

The standard for determining novelty under 35 U.S.C. 102 was set forth by the court in In re Bar­tlett, 300 F.2d 942, 133 USPQ 204 (CCPA 1962). “The degree of difference [from the prior art] required to establish novelty occurs when the average observer takes the new design for a different, and not a modi­fied, already-existing design.” 300 F.2d at 943, 133 USPQ at 205 (quoting Shoemaker, Patents For Designs, page 76). In design patent applications, the factual inquiry in determining anticipation over a prior art reference is the same as in utility patent applications. That is, the reference “must be identical in all material respects.” Hupp v. Siroflex of America Inc., 122 F.3d 1456, 43 USPQ2d 1887 (Fed. Cir. 1997).

The “average observer” test does not require that the claimed design and the prior art be from analo­gous arts when evaluating novelty. In re Glavas, 230 F.2d 447, 450, 109 USPQ 50, 52 (CCPA 1956). Insofar as the “average observer” under 35 U.S.C. 102 is not charged with knowledge of any art, the issue of analogousness of prior art need not be raised. This distinguishes 35 U.S.C. 102 from 35 U.S.C. 103(a) which requires determination of whether the claimed design would have been obvious to “a person of ordi­nary skill in the art.”

When a claim is rejected under 35 U.S.C. 102 as being unpatentable over prior art, those features of the design which are functional and/or hidden during end

use may not be relied upon to support patentability. In re Cornwall, 230 F.2d 447, 109 USPQ 57 (CCPA 1956); Jones v. Progress Ind. Inc., 119 USPQ 92 (D. R.I. 1958). Further, in a rejection of a claim under 35 U.S.C. 102, mere differences in functional consid­erations do not negate a finding of anticipation when determining design patentability. Black & Decker, Inc. v. Pittway Corp., 636 F.2d 1193, 231 USPQ 252 (N.D. Ill. 1986).

It is not necessary for the examiner to cite or apply prior art to show that functional and/or hidden fea­tures are old in the art as long as the examiner has properly relied on evidence to support the prima facie lack of ornamentality of these individual features. If applicant wishes to rely on functional or hidden fea­tures as a basis for patentability, the same standard for establishing ornamentality under 35 U.S.C. 171 must be applied before these features can be given any pat­entable weight. See MPEP § 1504.01(c).

In evaluating a statutory bar based on 35 U.S.C. 102(b), the experimental use exception to a statutory bar for public use or sale (see MPEP § 2133.03(e)) does not usually apply for design patents. See In re Mann, 861 F.2d 1581, 8 USPQ2d 2030 (Fed. Cir. 1988). However, Tone Brothers, Inc. v. Sysco Corp., 28 F.3d 1192, 1200, 31 USPQ2d 1321, 1326 (Fed. Cir. 1994) held that “experimentation directed to func­tional features of a product also containing an orna­mental design may negate what otherwise would be considered a public use within the meaning of section 102(b).” See MPEP § 2133.03(e)(6).

Registration of a design abroad is considered to be equivalent to patenting under 35 U.S.C. 119(a)-(d) and 35 U.S.C. 102(d), whether or not the foreign grant is published. (See Ex parte Lancaster, 151 USPQ 713 (Bd. App. 1965); Ex parte Marinissen, 155 USPQ 528 (Bd. App. 1966); Appeal No. 239-48, Decided April 30, 1965, 151 USPQ 711, (Bd. App. 1965); Ex parte Appeal decided September 3, 1968, 866 O.G. 16 (Bd. App. 1966). The basis of this practice is that if the for­eign applicant has received the protection offered in the foreign country, no matter what the protection is called (“patent,” “Design Registration,” etc.), if the United States application is timely filed, a claim for priority will vest. If, on the other hand, the U.S. application is not timely filed, a statutory bar arises under 35 U.S.C. 102(d) as modified by 35 U.S.C. 172. In order for the filing to be timely for priority pur-

1500-21 Rev. 2, May 2004

1504.02 MANUAL OF PATENT EXAMINING PROCEDURE

poses and to avoid possible statutory bars, the U.S. The following table sets forth the dates on which design patent application must be made within 6 design rights can be enforced in a foreign country months of the foreign filing. See also MPEP § (INID Code (24)) and thus, are also useable in a 1504.10. 35 U.S.C. 102(d) rejection as modified by 35 U.S.C.

The laws of each foreign country vary in one or 172. It should be noted that in many countries the date more respects. of registration or grant is the filing date.

Rev. 2, May 2004 1500-22

DESIGN PATENTS 1504.02

Date(s) Which Can Also Be Used Country or Organization for 35 U.S.C. 102(d) Purposes1 Comment

(INID Code (24))

AT-Austria Protection starts on the date of publication of the design in the official gazette

AU-Australia Date of registration or grant which is the filing date

BG-Bulgaria Date of registration or grant which is the filing date

BX-Benelux (Belgium, Luxem- Date on which corresponding bourg, and the Netherlands) application became complete and

regular according to the criteria set by the law

CA-Canada Date of registration or grant

CH-Switzerland Date of registration or grant which Minimum requirements: deposit is the filing date application, object, and deposit fee

CL-Chile Date of registration or grant

CU-Cuba Date of registration or grant which is the filing date

CZ-Czech Republic Date of registration or grant which is the filing date

DE-Germany Date of registration or grant The industrial design right can be enforced by a court from the date of registration although it is in force earlier (as from the date of filing—as defined by law).

DK-Denmark Date of registration or grant which is the filing date

EG-Egypt Date of registration or grant which is the filing date

ES-Spain Date of registration or grant

FI-Finland Date of registration or grant which is the filing date

FR-France Date of registration or grant which is the filing date

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1504.02 MANUAL OF PATENT EXAMINING PROCEDURE

Date(s) Which Can Also Be Used Country or Organization for 35 U.S.C. 102(d) Purposes1 Comment

(INID Code (24))

GB-United Kingdom Date of registration or grant which Protection arises automatically is the filing date under the Design Right provision

when the design is created. Proof of the date of the design creation needs to be kept in case the design right is challenged. The protection available to designs can be enforced in the courts following the date of grant of the Certificate of Registration as of the date of registration which stems from the date of first filing of the design in the UK or, if a priority is claimed under the Convention, as another country.

HU-Hungary Date of registration or grant With retroactive effect as from the filing date

JP-Japan Date of registration or grant

KR-Republic of Korea Date of registration or grant

MA-Morocco Date of registration or grant which is the filing date

MC-Monaco Date of registration or grant which Date of prior disclosure declared is the filing date on deposit

NO-Norway Date of registration or grant which is the filing date

OA-African Intellectual Property Date of registration or grant which Organization (OAPI) (Benin, is the filing date Burkina Faso, Cameroon, Central African Republic, Chad, Congo, Cote d`Ivoire, Gabon, Guinea, Mali, Mauritania, Niger, Senegal, and Togo)

PT-Portugal Date of registration or grant

RO-Romania Date of registration or grant which is the filing date

RU-Russian Federation Date of registration or grant which is the filing date

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DESIGN PATENTS 1504.02

Country or Organization Date(s) Which Can Also Be Used for 35 U.S.C. 102(d) Purposes1

(INID Code (24)) Comment

SE-Sweden Date of registration or grant

TN-Tunisia Date of registration or grant which is the filing date

TT-Trinidad and Tobago Date of registration or grant which is the filing date

WO-World Intellectual Property Organization (WIPO)

Subject to Rule 14.2 of the Regu­lations (on defects), the Interna­tional Bureau enters the international deposit in the Inter­national Register on the date on which it has in its possession the application together with the items required. Reproductions, samples, or models pursuant to Rule 12, and the prescribed fees.

1Based on information taken from the “Survey of Filing Procedures and Filing Requirements, as well as of Examination Methods and Publication Procedures, Relating to Industrial Designs” as adopted by the PCIPI Executive Coordination Committee of the World Intellectual Property Organization (WIPO) at its fifteenth session on November 25, 1994.

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1504.02 MANUAL OF PATENT EXAMINING PROCEDURE

Rejections under 35 U.S.C. 102(d) as modified by 35 U.S.C. 172 should only be made when the exam­iner knows that the application for foreign registra-tion/patent has actually issued before the U. S. filing date based on an application filed more than six (6) months prior to filing the application in the United States. If the grant of a registration/patent based on the foreign application is not evident from the record of the U. S. application or from information found within the preceding charts, then the statement below should be included in the first action on the merits of the application:

¶ 15.03.01 Foreign Filing More Than 6 Months Before U.S. Filing

Acknowledgment is made of the [1] application identified in the declaration which was filed more than six months prior to the filing date of the present application. Applicant is reminded that if the [2] application matured into a form of patent protection before the filing date of the present application it would constitute a statutory bar to the issuance of a design patent in the United States under 35 U.S.C. 102(d) in view of 35 U.S.C. 172.

Examiner Note: In brackets 1 and 2, insert the name of country where applica­

tion was filed.

Form paragraphs for use in rejections under 35 U.S.C. 102 are set forth below.

¶ 15.11 35 U.S.C. 102(a) Rejection The claim is rejected under 35 U.S.C. 102(a) as being clearly

anticipated by [1] because the invention was known or used by others in this country, or patented or described in a printed publi­cation in this or a foreign country before the invention thereof by the applicant for patent.

¶ 15.12 35 U.S.C. 102(b) Rejection The claim is rejected under 35 U.S.C. 102(b) as being clearly

anticipated by [1] because the invention was patented or described in a printed publication in this or a foreign country, or in public use or on sale in this country more than one (1) year prior to the application for patent in the United States.

¶ 15.13 35 U.S.C. 102(c) Rejection The claim is rejected under 35 U.S.C. 102(c) because the

invention has been abandoned.

¶ 15.14 35 U.S.C. 102(d)/172 Rejection The claim is rejected under 35 U.S.C. 102(d), as modified by

35 U.S.C. 172, as being clearly anticipated by [1] because the invention was first patented or caused to be patented, or was the subject of an inventor’s certificate by the applicant, or his/her legal representatives or assigns in a foreign country prior to the date of the application for patent in this country on an application for patent or inventor’s certificate filed more than six (6) months before the filing of the application in the United States.

¶ 15.15 35 U.S.C. 102(e) Rejection The claim is rejected under 35 U.S.C. 102(e) as being clearly

anticipated by [1] because the invention was described in a pat­ented or published application for patent by another filed in the United States before the invention thereof by the applicant for patent.

¶ 15.16 35 U.S.C. 102(f) Rejection The claim is rejected under 35 U.S.C. 102(f) because applicant

did not himself invent the subject matter sought to be patented.

¶ 15.17 35 U.S.C. 102(g) Rejection The claim is rejected under 35 U.S.C. 102(g) because, before

the applicant's invention thereof, the invention was made in this country by another who had not abandoned, suppressed or con­cealed it.

**>

¶ 15.24.05 Identical Claim: Common Assignee The claim is directed to the same invention as that of the claim

of commonly assigned copending Application No. [1]. The issue of priority under 35 U.S.C. 102(g) and possibly 35 U.S.C. 102(f) of this single invention must be resolved. Since the U.S. Patent and Trademark Office normally will not institute an interference between applications or a patent and an application of common ownership (see MPEP § 2302), the assignee is required to state which entity is the prior inventor of the conflicting subject matter. A terminal disclaimer has no effect in this situation since the basis for refusing more than one patent is priority of invention under 35 U.S.C.102(f) or (g) and not an extension of monopoly. Failure to comply with this requirement will result in a holding of abandon­ment of this application.

The following form paragraph should be included after the form paragraph setting forth the rejection under 35 U.S.C. 102 (a), (b), (d) or (e) to provide an explanation of the applied reference.

¶ 15.15.01 Explanation of rejection under 35 U.S.C. 102(a), (b), (d), or (e)

The shape and appearance of [1] is identical in all material respects to that of the claimed design, Hupp v. Siroflex of America Inc., 122 F.3d 1456, 43 USPQ2d 1887 (Fed. Cir. 1997).

Examiner Note: 1. This paragraph should be included after paragraph 15.11, 15.12, 15.14 or 15.15 to explain the basis of the rejection. 2. In bracket [1], identify the reference applied against the claimed design.

The following form paragraphs may be used to reject a claim under 35 U.S.C. 102(e) over an applica­tion or patent having an earlier effective U.S. filing date with a common inventor and/or assignee, or that discloses but does not claim the design.

Rev. 2, May 2004 1500-26

DESIGN PATENTS 1504.02

**>

¶ 15.15.02 Provisional 35 U.S.C. 102(e) rejection - design disclosed but not claimed in another application with common inventor and/or assignee

The claim is provisionally rejected under 35 U.S.C. 102(e) as being anticipated by copending Application No. [1] which has a common [2] with the instant application.

Based upon the different inventive entity and the earlier effec­tive U.S. filing date of the copending application, it would consti­tute prior art under 35 U.S.C. 102(e), if published under 35 U.S.C. 122(b) or patented. This provisional rejection under 35 U.S.C. 102(e) is based upon a presumption of future publication or pat­enting of the copending application.

Since the design claimed in the present application is not the same invention claimed in the [3] application, the examiner sug­gests overcoming this provisional rejection in one of the following ways: (A) a showing under 37 CFR 1.132 that the design in the reference was derived from the designer of this application and is thus not the invention 'by another;' (B) a showing of a date of invention for the instant application prior to the effective U.S. fil­ing date of the reference under 37 CFR 1.131; (C) Perfecting a claim to priority under 35 U.S.C. 119 that antedates the reference by filing a certified priority document in the application that satis­fies the enablement and description requirements of 35 U.S.C. 112, first paragraph; or (D) Perfecting priority under 35 U.S.C. 120 by amending the specification of the application to contain a specific reference to a prior application or by filing an application data sheet under 37 CFR 1.76 which contains a specific reference to a prior application in accordance with 37 CFR 1.78(a) and establishing that the prior application satisfies the enablement and description requirements of 35 U.S.C. 112, first paragraph.

This rejection may not be overcome by the filing of a terminal disclaimer. See In re Bartfeld, 925 F.2d 1450, 17 USPQ2d 1885 (Fed. Cir. 1991).

Examiner Note: 1. This form paragraph is used to provisionally reject over a copending application (utility or design) with an earlier filing date that discloses (but does not claim) the claimed invention which has not been patented or published under 35 U.S.C. 122. The copending application must have either a common assignee or at least one common inventor. 2. Use 35 U.S.C. 102(e) as amended by the American Inven-tor’s Protection Act (form paragraph 7.12) to determine the refer-ence’s prior art date, unless the reference is a U.S. patent issued directly, or indirectly, from an international application which has an international filing date prior to November 29, 2000. Use pre-AIPA 35 U.S.C. 102(e) (form paragraph 7.12.01) only if the refer­ence is a U.S. patent issued directly or indirectly from either a national stage of an international application (application under 35 U.S.C. 371) which has an international filing date prior to Novem­ber 29, 2000 or a continuing application claiming benefit under 35 U.S.C. 120, 121, or 365 (c) to an international application having an international filing date prior to November 29, 2000. See the Examiner Notes for form paragraphs 7.12 and 7.12.01 to assist in the determination of the 35 U.S.C. 102(e) date.

3. In bracket 2, insert inventor or assignee.

¶ 15.15.03 Provisional 35 U.S.C. 102(e) rejection - design claimed in an earlier filed design patent application with common inventor and/or assignee

The claim is provisionally rejected under 35 U.S.C. 102(e) as being anticipated by the claim in copending Design Patent Appli­cation No. [1] which has a common [2] with the instant applica­tion.

Based upon the different inventive entity and the earlier effec­tive U.S. filing date of the copending application, it would consti­tute prior art under 35 U.S.C. 102(e), if patented. This provisional rejection under 35 U.S.C. 102(e) is based upon a presumption of future patenting of the copending application. The rejection may be overcome by abandoning the earlier filed copending applica­tion.

Examiner Note: 1. In bracket 2, insert inventor or assignee. 2. This form paragraph must be preceded by form paragraph 15.24.05 to notify the applicant that the question of patentability under 35 U.S.C. 102(f)/(g) also exists.

<

¶ 15.15.04 35 U.S.C. 102(e) rejection - design disclosed but not claimed in a patent

The claim is rejected under 35 U.S.C. 102(e) as being antici­pated by patent [1].

Based upon the different inventive entity and the earlier effec­tive U.S. filing date of the reference, it constitutes prior art under 35 U.S.C. 102(e).

Since the design claimed in the present application is not the same invention claimed in patent [2], the examiner suggests over­coming this rejection in one of the following ways: A) a showing under 37 CFR 1.132 that the design in the reference was derived from the designer of this application and is thus not the invention “by another;” (B) a showing of a date of invention for the instant application prior to the effective U.S. filing date of the reference under 37 CFR 1.131; (C) Perfecting a claim to priority under 35 U.S.C. 119 that antedates the reference by filing a certified prior­ity document in the application that satisfies the enablement and description requirements of 35 U.S.C. 112, first paragraph; or (D) Perfecting priority under 35 U.S.C. 120 by amending the specifi­cation of the application to contain a specific reference to a prior application or by filing an application data sheet under 37 CFR 1.76 which contains a specific reference to a prior application in accordance with 37 CFR 1.78(a) and establishing that the prior application satisfies the enablement and description requirements of 35 U.S.C. 112, first paragraph

This rejection may not be overcome by the filing of a terminal disclaimer. See In re Bartfeld, 925 F.2d 1450, 17 USPQ2d 1885 (Fed. Cir. 1991).

Examiner Note: 1. This form paragraph should be used when the claimed design in the application being examined is disclosed in the drawings of an earlier filed design or utility patent but is not claimed therein.

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1504.03 MANUAL OF PATENT EXAMINING PROCEDURE

When the design claimed in the application being examined is dis­closed in the drawings of an earlier filed design patent, it would most often be in the form of subcombination subject matter, (part or portion of an article), that is patentably distinct from the claim for the design embodied by the combination or whole article. It may also be unclaimed subject matter depicted in broken lines in the earlier filed application. 2. In brackets 1 and 2, insert number of patent.

< The following form paragraphs may be used in a

second or subsequent action, where appropriate.

¶ 15.38 Rejection Maintained The arguments presented have been carefully considered, but

are not persuasive that the rejection of the claim under [1] should be withdrawn.

Examiner Note: In bracket 1, insert basis of rejection.

**>

¶ 15.40.01 Final Rejection Under Other Statutory Provisions

The claim is again and FINALLY REJECTED under [1] as [2].

Examiner Note: 1. In bracket 1, insert statutory basis. 2. In bracket 2, insert reasons for rejection. 3. See paragraphs in MPEP Chapter 700, for “Action is Final” and “Advisory after Final” paragraphs. < 1504.03 Nonobviousness [R-2]

35 U.S.C. 103. Conditions for patentability; non-obvious subject matter.

(a) A patent may not be obtained though the invention is not identically disclosed or described as set forth in section 102 of this title, if the differences between the subject matter sought to be pat­ented and the prior art are such that the subject matter as a whole would have been obvious at the time the invention was made to a person having ordinary skill in the art to which said subject matter pertains. Patentability shall not be negatived by the manner in which the invention was made.

*****

(c) Subject matter developed by another person, which qual­ifies as prior art only under one or more of subsections (e), (f), and (g) of section 102 of this title, shall not preclude patentability under this section where the subject matter and the claimed invention were, at the time the invention was made, owned by the same person or subject to an obligation of assign­ment to the same person.

A claimed design that meets the test of novelty must additionally be evaluated for nonobviousness under 35 U.S.C. 103(a).

I. GATHERING THE FACTS

The basic factual inquiries guiding the evaluation of obviousness, as outlined by the Supreme Court in Graham v. John Deere Co., 383 U.S. 1, 148 USPQ 459 (1966), are applicable to the evaluation of design patentability:

(A) Determining the scope and content of the prior art;

(B) Ascertaining the differences between the claimed invention and the prior art;

(C) Resolving the level of ordinary skill in the art; and

(D) Evaluating any objective evidence of nonob­viousness (i.e., so-called “secondary considerations”).

A. Scope of the Prior Art

The scope of the relevant prior art for purposes of evaluating obviousness under 35 U.S.C. 103(a) extends to all “analogous arts.”

While the determination of whether arts are analo­gous is basically the same for both design and utility inventions (see MPEP § 904.01(c) and § 2141.01(a)), In re Glavas, 230 F.2d 447, 450 109 USPQ 50, 52 (CCPA 1956) provides specific guidance for evaluat­ing analogous arts in the design context, which should be used to supplement the general requirements for analogous art as follows:

The question in design cases is not whether the references sought to be combined are in analogous arts in the mechanical sense, but whether they are so related that the appearance of certain ornamental features in one would suggest the application of those features to the other.

Thus, if the problem is merely one of giving an attrac­tive appearance to a surface, it is immaterial whether the surface in question is that of wall paper, an oven door, or a piece of crockery. . . .

On the other hand, when the proposed combination of references involves material modifications of the basic form of one article in view of another, the nature of the article involved is a definite factor in determining whether the proposed change involves [patentable] invention.

Therefore, where the differences between the claimed design and the prior art are limited to the application of ornamentation to the surface of an arti-

Rev. 2, May 2004 1500-28

DESIGN PATENTS 1504.03

cle, any prior art reference which discloses substan­tially the same surface ornamentation would be considered analogous art. Where the differences are in the shape or form of the article, the nature of the arti­cles involved must also be considered.

B. Differences Between the Prior Art and the Claimed Design

In determining patentability under 35 U.S.C. 103(a), it is the overall appearance of the design that must be considered. In re Leslie, 547 F.2d 116, 192 USPQ 427 (CCPA 1977). The mere fact that there are differences between a design and the prior art is not alone sufficient to justify patentability. In re Lamb, 286 F.2d 610, 128 USPQ 539 (CCPA 1961).

All differences between the claimed design and the closest prior art reference should be identified in any rejection of the design claim under 35 U.S.C. 103(a). If any differences are considered de minimis or incon­sequential from a design viewpoint, the rejection should so state.

C. Level of Ordinary Skill in the Art

In order to be unpatentable, 35 U.S.C. 103(a) requires that an invention must have been obvious to a designer having “ordinary skill in the art” to which the subject matter sought to be patented pertains. The “level of ordinary skill in the art” from which obvi­ousness of a design claim must be evaluated under 35 U.S.C. 103(a) has been held by the courts to be the perspective of the “designer of . . . articles of the types presented.” In re Nalbandian, 661 F.2d 1214, 1216, 211 USPQ 782, 784 (CCPA 1981); In re Carter, 673 F.2d 1378, 213 USPQ 625 (CCPA 1982).

D. Objective Evidence of Nonobviousness (Sec­ondary Considerations)

Secondary considerations, such as commercial suc­cess and copying of the design by others, are relevant to the evaluation of obviousness of a design claim. Evidence of nonobviousness may be present at the time a prima facie case of obviousness is evaluated or it may be presented in rebuttal of a prior obviousness rejection.

II. PRIMA FACIE OBVIOUSNESS

Once the factual inquiries mandated under Graham v. John Deere Co., 383 U. S. 1, 148 USPQ 459 (1966), have been made, the examiner must determine whether they support a conclusion of prima facie obviousness. To establish prima facie obviousness, all the claim limitations must be taught or suggested by the prior art.

In determining prima facie obviousness, the proper standard is whether the design would have been obvi­ous to a designer of ordinary skill with the claimed type of article. In re Nalbandian, 661 F.2d 1214, 211 USPQ 782 (CCPA 1981).

As a whole, a design must be compared with some­thing in existence, and not something brought into existence by selecting and combining features from prior art references. In re Jennings, 182 F.2d 207, 86 USPQ 68 (CCPA 1950). The “something in exist­ence” referred to in Jennings has been defined as “...a reference... the design characteristics of which are basically the same as the claimed design....” In re Rosen, 673 F.2d 388, 391, 213 USPQ 347, 350 (CCPA 1982) (the primary reference did “...not give the same visual impression...” as the design claimed but had a “...different overall appearance and aesthetic appeal...”.) Hence, it is clear that “design characteris­tics” means overall visual appearance. This definition of “design characteristics” is reinforced in the deci­sion of In re Harvey, 12 F.3d 1061, 1063, 29 USPQ2d 1206, 1208 (Fed. Cir. 1993), and is supported by the earlier decisions of In re Yardley, 493 F.2d 1389, 181 USPQ 331, 334 (CCPA 1974) and In re Leslie, 547 F.2d 116, 192 USPQ 427, 431 (CCPA 1977). Specifi­cally, in the Yardley decision, it was stated that “[t]he basic consideration in determining the patentability of designs over prior art is similarity of appearance.” 493 F.2d at 1392-93, 181 USPQ at 334. Therefore, in order to support a holding of obviousness, a basic ref­erence must be more than a design concept; it must have an appearance substantially the same as the claimed design. In re Harvey, 12 F.3d 1061, 29 USPQ2d 1206 (Fed. Cir. 1993). Absent such a ref­erence, no holding of obviousness under 35 U.S.C. 103(a) can be made, whether based on a single refer­ence alone or in view of modifications suggested by secondary prior art.

A rejection under 35 U.S.C. 103(a) based on a sin­gle non-analogous reference would not be proper. The

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1504.03 MANUAL OF PATENT EXAMINING PROCEDURE

reason is that under 35 U.S.C. 103(a), a designer of ordinary skill would not be charged with knowledge of prior art that is not analogous to the claimed design.

Examiners are advised that differences between the claimed design and a basic reference may be held to be minor in nature and unrelated to the overall aes­thetic appearance of the design with or without the support of secondary references. In re Nalbandian, 661 F.2d 1214, 211 USPQ 782 (CCPA 1981). If such differences are shown by secondary references, they should be applied so as to leave no doubt that those differences would have been obvious to a designer of ordinary skill in the art. In re Sapp, 324 F.2d 1021, 139 USPQ 522 (CCPA 1963).

When a claim is rejected under 35 U.S.C. 103(a) as being unpatentable over prior art, features of the design which are functional and/or hidden during end use may not be relied upon to support patentability. “[A] design claim to be patentable must also be orna­mental; and functional features or forms cannot be relied upon to support its patentability.” Jones v. Progress, Ind. Inc., 119 USPQ 92, 93 (D. R.I. 1958). “It is well settled that patentability of a design cannot be based on elements which are concealed in the nor­mal use of the device to which the design is applied.” In re Cornwall, 230 F.2d 457, 459, 109 USPQ 57, 58 (CCPA 1956); In re Garbo, 287 F.2d 192, 129 USPQ 72 (CCPA 1961). It is not necessary that prior art be relied upon in a rejection under 35 U.S.C. 103(a) to show similar features to be functional and/or hidden in the art. However, examiners must provide evi­dence to support the prima facie functionality of such features. Furthermore, hidden portions or functional features cannot be relied upon as a basis for patent­ability. If applicant wishes to rely on functional or hidden features as a basis for patentability, then the same standard for establishing ornamentality under 35 U.S.C. 171 must be applied before these features can be given any patentable weight. See MPEP § 1504.01(c).

A. Combining Prior Art References

A rejection under 35 U.S.C. 103(a) would be appropriate if a designer of ordinary skill would have been motivated to modify a basic reference by delet­ing features thereof or by interchanging with or add­ing features from pertinent secondary references. In order for secondary references to be considered, there

must be some suggestion in the prior art to modify the basic design with features from the secondary refer­ences. In re Borden, 90 F.3d 1570, 1572, 39 USPQ2d 1524, 1526 (Fed. Cir. 1996). The long-standing test for properly combining references has been “...whether they are so related that the appearance of certain ornamental features in one would suggest the application of those features to the other.” In re Glavas, 230 F.2d 447, 450, 109 USPQ 50, 52 (CCPA 1956).

The prohibition against destroying the function of the design is inherent in the logic behind combining references to render a claimed invention obvious under 35 U.S.C. 103(a). If the proposed combination of the references so alters the primary reference that its broad function can no longer be carried out, the combination of the prior art would not have been obvious to a designer of ordinary skill in the art. It is permissible to modify the primary reference to the extent that the specific function of the article may be affected while the broad function is not affected. For example, a primary reference to a cabinet design claimed as airtight could be modified to no longer be airtight so long as its function as a cabinet would not be impaired.

1. Analogous Art

When a modification to a basic reference involves a change in configuration, both the basic and secondary references must be from analogous arts. In re Glavas, 230 F.2d 447, 109 USPQ 50 (CCPA 1956). The rea­son for this is two-fold. First, a designer of ordinary skill is only charged with knowledge of art related to that of the claimed design. Second, the ornamental features of the references must be closely related in order for a designer of ordinary skill to have been motivated to have modified one in view of the other. Hence, when modifying a basic reference, a designer of ordinary skill would have looked at design features of other related references for precisely the purpose of observing the ornamental characteristics they dis­closed.

Analogous art can be more broadly interpreted when applied to a claim that is directed to a design with a portion simulating a well known or naturally occurring object or person. The simulative nature of that portion of the design is prima facie evidence that

Rev. 2, May 2004 1500-30

DESIGN PATENTS 1504.03

art which simulates that portion would be within the level of ordinary skill under 35 U.S.C. 103(a).

2. Non-analogous Art

When modifying the surface of a basic reference so as to provide it with an attractive appearance, it is immaterial whether the secondary reference is analo­gous art, since the modification does not involve a change in configuration or structure and would not have destroyed the characteristics (appearance and function) of the basic reference. In re Glavas, 230 F.2d 447, 109 USPQ 50 (CCPA 1956).

III. REBUTTAL OF THE PRIMA FACIE CASE

Once a prima facie case of obviousness has been established, the burden shifts to the applicant to rebut it, if possible, with objective evidence of nonobvious­ness. Examples of secondary considerations are com­mercial success, expert testimony and copying of the design by others. Any objective evidence of nonobvi­ousness or rebuttal evidence submitted by applicant, including affidavits or declarations under 37 CFR 1.132, must be considered by examiners in determin­ing patentability under 35 U.S.C. 103(a).

When evidence of commercial success is submit­ted, examiners must evaluate it to determine whether there is objective evidence of success, and whether the success can be attributed to the ornamental design. Litton System, Inc. v. Whirlpool Corp., 728 F.2d 1423, 221 USPQ 97 (Fed. Cir. 1984); In re Nalbandian, 661 F.2d 1214, 211 USPQ 782 (CCPA 1981). An affidavit or declaration under 37 CFR 1.132 has minimal evi­dentiary value on the issue of commercial success if there is no nexus or connection between the sales of the article in which the design is embodied and the ornamental features of the design. Avia Group Int’l Inc. v. L.A. Gear, 853 F.2d 1557, 7 USPQ2d 1548 (Fed. Cir. 1988).

Submission of expert testimony must establish the professional credentials of the person signing the affi­davit or declaration, and should not express an opin­ion on the ultimate legal issue of obviousness since this conclusion is one of law. Avia Group Int’l Inc. v. L.A. Gear, 853 F.2d 1557, 7 USPQ2d 1548 (Fed. Cir. 1988); Panduit Corp. v. Dennison Mfg. Co., 774 F.2d 1082, 227 USPQ 337 (Fed. Cir. 1985).

With regard to evidence submitted showing that competitors in the marketplace are copying the

design, more than the mere fact of copying is neces­sary to make that action significant because copying may be attributable to other factors such as lack of concern for patent property or indifference with regard to the patentee’s ability to enforce the patent. Cable Electric Products, Inc. v. Genmark, Inc., 770 F.2d 1015, 226 USPQ 881 (Fed. Cir. 1985).

“A prima facie case of obviousness can be rebutted if the applicant...can show that the art in any material respect ‘taught away’ from the claimed invention...A reference may be said to teach away when a person of ordinary skill, upon reading the reference...would be led in a direction divergent from the path that was taken by the applicant.” In re Haruna, 249 F.3d 1327, 58USPQ2d 1517 (Fed. Cir. 2001).

For additional information regarding the issue of objective evidence of nonobviousness, attention is directed to MPEP § 716 through § 716.06.

The following form paragraph may be used in an obviousness rejection under 35 U.S.C. 103(a), where appropriate.

¶ 15.18 35 U.S.C. 103(a) Rejection (Single Reference) The claim is rejected under 35 U.S.C. 103(a) as being unpat­

entable over [1]. Although the invention is not identically dis­closed or described as set forth in 35 U.S.C. 102, if the differences between the subject matter sought to be patented and the prior art are such that the subject matter as a whole would have been obvi­ous at the time the invention was made to a designer having ordi­nary skill in the art to which said subject matter pertains, the invention is not patentable.

¶ 15.70 Preface, 35 U.S.C. 103(a) Rejection It would have been obvious to a designer of ordinary skill in

the art at the time the invention was made to [1].

Examiner Note: Insert explanation of the use of the reference applied in bracket

1.

¶ 15.67 Rationale for 35 U.S.C. 103(a) Rejection (Single Reference)

It is well settled that it is unobviousness in the overall appear­ance of the claimed design, when compared with the prior art, rather than minute details or small variations in design as appears to be the case here, that constitutes the test of design patentability. See In re Frick, 275 F.2d 741, 125 USPQ 191 (CCPA 1960) and In re Lamb, 286 F.2d 610, 128 USPQ 539 (CCPA 1961).

¶ 15.19 35 U.S.C. 103(a) Rejection (Multiple References) The claim is rejected under 35 U.S.C. 103(a) as being unpat­

entable over [1] in view of [2]. Although the invention is not identically disclosed or described

as set forth in 35 U.S.C. 102, if the differences between the sub-

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ject matter sought to be patented and the prior art are such that the subject matter as a whole would have been obvious at the time the invention was made to a designer of ordinary skill in the art to which said subject matter pertains, the invention is not patentable.

¶ 15.68 Rationale for 35 U.S.C. 103(a) Rejection (Multiple References)

This modification of the basic reference in light of the second­ary prior art is proper because the applied references are so related that the appearance of features shown in one would suggest the application of those features to the other. See In re Rosen, 673 F.2d 388, 213 USPQ 347 (CCPA 1982); In re Carter, 673 F.2d 1378, 213 USPQ 625 (CCPA 1982), and In re Glavas, 230 F.2d 447, 109 USPQ 50 (CCPA 1956). Further, it is noted that case law has held that a designer skilled in the art is charged with knowl­edge of the related art; therefore, the combination of old elements, herein, would have been well within the level of ordinary skill. See In re Antle, 444 F.2d 1168,170 USPQ 285 (CCPA 1971) and In re Nalbandian, 661 F.2d 1214, 211 USPQ 782 (CCPA 1981).

**> The following form paragraphs may be used when

making a rejection under 35 U.S.C. 103(a), where the reference application or patent is prior art under 35 U.S.C. 102(e).

¶ 15.19.02 Preface 35 U.S.C. 102(e)/103(a) rejection ­Different inventors, common assignee, obvious designs, no evidence of common ownership at time later design was made

The claim is directed to a design not patentably distinct from the design of commonly assigned [1]. Specifically, the claimed design is different from the one in [2] in that [3]. These differ­ences are considered obvious and do not patentably distinguish the overall appearance of the claimed design over the design in [4].

The commonly assigned [5], discussed above, has a different inventive entity from the present application. Therefore, it quali­fies as prior art under 35 U.S.C. 102(e), (f) or (g) and forms the basis for a rejection of the claim in the present application under 35 U.S.C. 103(a) if the conflicting design claims were not com­monly owned at the time the design in this application was made. In order to resolve this issue, the applicant, assignee or attorney of record can state that the conflicting designs were commonly owned at the time the design in this application was made, or the assignee can name the prior inventor of the conflicting subject matter.

A showing that the designs were commonly owned at the time the design in this application was made will overcome a rejection under 35 U.S.C. 103(a) based upon the commonly assigned case as a reference under 35 U.S.C. 102(f) or (g), or 35 U.S.C. 102(e) for applications filed on or after November 29, 1999.

Examiner Note: 1. This form paragraph should be used when the application being examined is commonly assigned with a conflicting applica­

tion or patent, but there is no indication that they were commonly assigned at the time the invention was actually made. 2. If the conflicting claim is in a patent with an earlier U.S. fil­ing date, a rejection under 35 U.S.C. 102(e)/103(a) should be made. 3. If the conflicting claim is in a commonly assigned, copend­ing application with an earlier filing date, a provisional rejection under 35 U.S.C. 102(e)/103(a) should be made. 4. An obviousness double patenting rejection may also be included in the action. 5. In brackets 1, 2, 4 and 5, insert patent and number, or copending application and serial number. 6. In bracket 3, identify differences between design claimed in present application and that claimed in earlier filed patent or copending application. 7. This form paragraph should only be used ONCE in an Office action. 8. If the rejection relies upon prior art under 35 U.S.C. 102(e), use 35 U.S.C. 102(e) as amended by the American Inventor’s Pro­tection Act to determine the reference’s prior art date, unless the reference is a U.S. patent issued directly, or indirectly, from an international application which has an international filing date prior to November 29, 2000. Use pre-AIPA 35 U.S.C. 102(e) only if the reference is a U.S. patent issued directly or indirectly form either a national stage of an international application (application under 35 U.S.C. 371) which has international filing date prior to November 29, 2000 or a continuing application claiming benefit under 35 U.S.C. 120, 121, or 365(c) to an international application having an international filing date prior to November 29, 2000. See the Examiner Notes for form paragraphs 7.12 and 7.12.01 to assist in the determination of the reference’s 35 U.S.C. 102(e) date.

¶ 15.19.03 Provisional 35 U.S.C. 102(e)/103(a) rejection ­design disclosed but not claimed in another application with common inventor and/or assignee

The claim is provisionally rejected under 35 U.S.C. 103(a) as being obvious over copending Application No. [1] which has a common [2] with the instant application. Based upon the different inventive entity and the earlier effective U.S. filing date of the copending application, it would constitute prior art under 35 U.S.C. 102(e) if published under 35 U.S.C. 122(b) or patented. This provisional rejection under 35 U.S.C. 103(a) is based upon a presumption of future publication or patenting of the conflicting application.

Although the invention is not identically disclosed or described as set forth in 35 U.S.C. 102, if the differences between the sub­ject matter sought to be patented and the prior art are such that the subject matter as a whole would have been obvious at the time the invention was made to a designer having ordinary skill in the art to which said subject matter pertains, the invention is not patent­able.

[3] Since the design claimed in the present application is not the

same invention claimed in the [4] application, this provisional rejection may be overcome by a showing under 37 CFR 1.132 that

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the design in the reference was derived from the designer of this application and is thus not the invention “by another,” or by a showing of a date of invention for the instant application prior to the effective U.S. filing date of the reference under 37 CFR 1.131. For applications filed on or after November 29, 1999, this rejec­tion might also be overcome by showing that the subject matter of the reference and the claimed invention were, at the time the invention was made, owned by the same person or subject to an obligation of assignment to the same person. See MPEP § 706.02(l)(1) and § 706.02(l)(2).

Examiner Note: 1. This form paragraph should be used when the claimed design in the application being examined is obvious over subject matter disclosed in the drawings of an earlier filed design or utility appli­cation but is not claimed therein. The design claimed in the appli­cation being examined can be an obvious version of subject matter disclosed in the drawings of an earlier filed design application. This subject matter may be depicted in broken lines, or may be in the form of a subcombination (part or portion of an article) that is patentably distinct from the claim for the design embodied by the combination or whole article. 2. In brackets 1 and 4 insert serial number of copending appli­cation. 3. In bracket 2, insert inventor or assignee. 4. In bracket 3, provide explanation of obviousness including differences and follow the explanation with form paragraphs 15.70 and 15.67 or 15.68. 5. This form paragraph must be preceded by form paragraph 15.19.02. 6. Use 35 U.S.C. 102(e) as amended by the American Inven-tor’s Protection Act to determine the reference’s prior art date, unless the reference is a U.S. patent issued directly, or indirectly, from an international application which has an international filing date prior to November 29, 2000. Use pre-AIPA 35 U.S.C. 102(e) only if the reference is a U.S. patent issued directly or indirectly from either a national stage of an international application (appli­cation under 35 U.S.C. 371) which has an international filing date prior to November 29, 2000 or a continuing application claiming benefit under 35 U.S.C. 120, 121, or 365(c) to an international application having an international filing date prior to November 29, 2000. See the Examiner Notes for form paragraphs 7.12 and 7.12.01 to assist in the determination of the reference’s 35 U.S.C. 102(e) date.

¶ 15.19.04 Provisional 35 U.S.C. 102(e)/103(a) rejection ­design claimed in an earlier filed design patent application with common inventor and/or assignee

The claim is provisionally rejected under 35 U.S.C. 103(a) as being obvious over the claim in copending Design Patent Applica­tion No. [1] which has a common [2] with the instant application. Based upon the different inventive entity and the earlier effective U.S. filing date of the copending application, it would constitute prior art under 35 U.S.C. 102(e) if patented. This provisional rejection under 35 U.S.C. 103(a) is based upon a presumption of future patenting of the conflicting application.

Although the invention is not identically disclosed or described as set forth in 35 U.S.C. 102, if the differences between the sub­ject matter sought to be patented and the prior art are such that the subject matter as a whole would have been obvious at the time the invention was made to a person having ordinary skill in the art to which said subject matter pertains, the invention is not patentable.

[3] Since the design claimed in the present application is not pat­

entably distinct from the design claimed in the [4] application, this provisional rejection may be overcome by merging the two appli­cations into a single continuation-in-part and abandoning the sep­arate parent applications. For applications filed on or after November 29, 1999, this rejection might also be overcome by showing that the subject matter of the reference and the claimed invention were, at the time the invention was made, owned by the same person or subject to an obligation of assignment to the same person. See MPEP § 706.02(l)(1) and § 706.02(l)(2).

Examiner Note: 1. This form paragraph should be used when the claimed design in the application being examined is obvious over the design claimed in an earlier filed copending application. 2. A provisional obviousness-type double patenting rejection must also be included in the action. 3. In brackets 1 and 4, insert serial number of copending appli­cation. 4. In bracket 2, insert inventor or assignee. 5. In bracket 3, provide explanation of obviousness including differences and follow the explanation with form paragraphs 15.70 and 15.67 or 15.68. 6. This form paragraph must be preceded by form paragraph 15.19.02.

¶ 15.19.05 35 U.S.C. 102(e)/103(a) rejection - design disclosed but not claimed

The claim is rejected under 35 U.S.C. 103(a) as being obvious over [1].

Based upon the different inventive entity and the earlier effec­tive U.S. filing date of the reference, it constitutes prior art under 35 U.S.C. 102(e).

Although the invention is not identically disclosed or described as set forth in 35 U.S.C. 102, if the differences between the sub­ject matter sought to be patented and the prior art are such that the subject matter as a whole would have been obvious at the time the invention was made to a designer having ordinary skill in the art to which said subject matter pertains, the invention is not patent­able.

[2] Since the design claimed in the present application is not the

same invention claimed in the [3] patent, this rejection may be overcome by a showing under 37 CFR 1.132 that the design in the reference was derived from the designer of this application and is thus not the invention 'by another,' or by a showing of a date of invention for the instant application prior to the effective U.S. fil­ing date of the reference under 37 CFR 1.131. For applications filed on or after November 29, 1999, this rejection might also be overcome by showing that the subject matter of the reference and the claimed invention were, at the time the invention was made,

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owned by the same person or subject to an obligation of assign­ment to the same person. See MPEP § 706.02(l)(1) and § 706.02(l)(2).

Examiner Note: 1. This form paragraph should be used when the claimed design in the application being examined is obvious over subject matter disclosed in the drawings of an earlier filed design or utility patent, or application publication, but is not claimed therein. The design claimed in the application being examined can be an obvi­ous version of subject matter disclosed in the drawings of an ear­lier filed design application. This subject matter may be depicted in broken lines, or may be in the form of a subcombination (part or portion of an article) that is patentably distinct from the claim for the design embodied by the combination or whole article. 2. In brackets 1 and 3, insert number of the U.S. patent, U.S. patent application publication, or the WIPO publication of an international application that qualifies as prior art under 35 U.S.C. 102(e). See note 5 below. 3. In bracket 2, provide explanation of obviousness including differences and follow the explanation with form paragraphs 15.70 and 15.67 or 15.68. 4. This form paragraph must be preceded by form paragraph 15.19.02. 5. Use 35 U.S.C. 102(e) as amended by the American Inven-tor’s Protection Act to determine the reference’s prior art date, unless the reference is a U.S. patent issued directly, or indirectly, from an international application which has an international filing date prior to November 29, 2000. Use pre-AIPA 35 U.S.C. 102(e) only if the reference is a U.S. patent issued directly or indirectly from either a national stage of an international application (appli­cation under 35 U.S.C. 371) which has an international filing date prior to November 29, 2000 or a continuing application claiming benefit under 35 U.S.C. 120, 121, or 365(c)to an international application having an international filing date prior to November 29, 2000. See the Examiner Notes for form paragraphs 7.12 and 7.12.01 to assist in the determination of the reference’s 35 U.S.C. 102(e) date.

¶ 15.19.06 35 U.S.C. 102(e)/103(a) rejection - design claimed in a design patent with an earlier effective filing date and common assignee

The claim is rejected under 35 U.S.C. 103(a) as being obvious over the claim in design patent [1].

Based upon the different inventive entity and the earlier effec­tive U.S. filing date of the reference, it constitutes prior art under 35 U.S.C. 102(e).

Although the invention is not identically disclosed or described as set forth in 35 U.S.C. 102, if the differences between the sub­ject matter sought to be patented and the prior art are such that the subject matter as a whole would have been obvious at the time the invention was made to a designer having ordinary skill in the art to which said subject matter pertains, the invention is not patent­able.

[2] Since the design claimed in the present application is not pat­

entably distinct from the design claimed in the [3] patent, this rejection may be overcome by submitting an oath or declaration

under 37 CFR 1.130 stating that this application and the reference are currently owned by the same party and that the inventor named in this application is the prior inventor of the subject matter in the reference under 35 U.S.C. 104. In addition, a terminal dis­claimer in accordance with 37 CFR 1.321(c) is also required. For applications filed on or after November 29, 1999, this rejection might also be overcome by showing that the subject matter of the reference and the claimed invention were, at the time the inven­tion was made, owned by the same person or subject to an obliga­tion of assignment to the same person. See MPEP § 706.02(l)(1) and § 706.02(l)(2)

Examiner Note: 1. This form paragraph should be used when the claimed design in the application being examined is obvious over the design claimed in a design patent having an earlier effective date and a common assignee. 2. An obviousness-type double patenting rejection must also be included in the action. 3. In brackets 1 and 3, insert number of patent. 4. In bracket 2, provide explanation of obviousness including differences and follow the explanation by form paragraphs 15.70 and 15.67 or 15.68. 5. This form paragraph must be preceded by form paragraph 15.19.02.

¶ 15.19.07 35 U.S.C. 102(e)/103(a) rejection - design claimed in a design patent having an earlier effective filing date and no common assignee

The claim is rejected under 35 U.S.C. 103(a) as being obvious over the claim in design patent [1].

Based upon the different inventive entity and the earlier effec­tive U.S. filing date of the reference, it constitutes prior art under 35 U.S.C. 102(e).

Although the invention is not identically disclosed or described as set forth in 35 U.S.C. 102, if the differences between the sub­ject matter sought to be patented and the prior art are such that the subject matter as a whole would have been obvious at the time the invention was made to a designer having ordinary skill in the art to which said subject matter pertains, the invention is not patent­able.

[2]

Examiner Note: 1. This form paragraph should be used when the claimed design in the application being examined is obvious over the design claimed in a design patent having an earlier effective filing date. 2. In bracket 2, provide explanation of obviousness including differences and follow explanation with form paragraphs 15.70 and 15.67 or 15.68. <

The following form paragraphs may be used in a second or subsequent action where appropriate.

¶ 15.38 Rejection Maintained The arguments presented have been carefully considered, but

are not persuasive that the rejection of the claim under [1] should be withdrawn.

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DESIGN PATENTS 1504.04

Examiner Note: In bracket 1, insert basis of rejection.

¶ 15.39 Obviousness Under 35 U.S.C. 103(a) Repeated It remains the examiner’s position that the [1] design claimed is

obvious under 35 U.S.C. 103(a) over [2].

Examiner Note: In bracket 1, insert name of design.

¶ 15.39.01 35 U.S.C. 103(a) Rejection Repeated (Multiple References)

It remains the examiner’s position that the claim is obvious under 35 U.S.C. 103(a) over [1] in view of [2].

**>

¶ 15.39.02 Final Rejection Under 35 U.S.C. 103(a) (Single Reference)

The claim is again and FINALLY REJECTED under 35 U.S.C. 103(a) over [1].

Examiner Note: See form paragraphs in MPEP Chapter 700, for “Action is

Final” and “Advisory after Final” paragraphs.

¶ 15.40 Final Rejection Under 35 U.S.C. 103(a) (Multiple References)

The claim is again and FINALLY REJECTED under 35 U.S.C. 103(a) as being unpatentable over [1] in view of [2].

Examiner Note: See form paragraphs in MPEP Chapter 700 for “Action is

Final” and “Advisory after Final” paragraphs.

<

** 1504.04 Considerations Under 35 U.S.C.

112 [R-2]

35 U.S.C. 112. Specification. The specification shall contain a written description of the

invention, and of the manner and process of making and using it, in such full, clear, concise, and exact terms as to enable any per­son skilled in the art to which it pertains, or with which it is most nearly connected, to make and use the same, and shall set forth the best mode contemplated by the inventor of carrying out his inven­tion.

The specification shall conclude with one or more claims par­ticularly pointing out and distinctly claiming the subject matter which the applicant regards as his invention.

*****

The drawing in a design application is incorporated into the claim by use of the claim language “as shown.”

Additionally, the drawing disclosure can be supple­mented by narrative description in the specification (see MPEP § 1503.01, subsection II). This descrip­tion is incorporated into the claim by use of the lan­guage “as shown and described.” See MPEP § *>1503.01, subsection III<.

I. 35 U.S.C. 112, FIRST >AND SECOND< PARAGRAPH>S<

* Enablement and **>Scope of Protection<

** >Any analysis for compliance with 35 U.S.C. 112 should begin with a determination of whether the claims satisfy the requirements of the second para­graph before moving on to the first paragraph. See In re Moore, 439 F.2d 1232, 169 USPQ 236 (CCPA 1971). Therefore, before any determination can be made as to whether the disclosure meets the require­ments of 35 U.S.C. 112, first paragraph, for enable­ment, a determination of the scope of protection sought by the claim must be made. However, since the drawing disclosure and any narrative description in the specification are incorporated into the claim by the use of the language “as shown and described,” any determination of the scope of protection sought by the claim is also a determination of the subject matter that must be enabled by the disclosure. Hence, if the appearance and shape or configuration of the design for which protection is sought cannot be determined or understood due to an inadequate visual disclosure, then the claim, which incorporates the visual disclo­sure, fails to particularly point out and distinctly claim the subject matter applicant regards as their invention, in violation of the second paragraph of 35 U.S.C. 112. Furthermore, such disclosure fails to enable a designer of ordinary skill in the art to reproduce the shape and appearance of the design for which protec­tion is sought. In such case, a rejection of the claim under both the first and second paragraphs of 35 U.S.C. 112 would be warranted.< An evaluation of the scope of the claim >under 35 U.S.C 112, second paragraph,< to determine ** >whether the disclosure of the design< meets the enablement requirement of 35 U.S.C. 112, first paragraph, cannot be based on the drawings alone. The scope of a claimed design is understood to be limited to those surfaces or portions of the article shown in the drawing in full lines in combination with any additional written description

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1504.04 MANUAL OF PATENT EXAMINING PROCEDURE

in the specification. The title does not define the scope of the claimed design but merely identifies the article in which it is embodied. See MPEP § 1503.01, sub­section I. It is assumed that the claim has been crafted to protect that which the applicant “regards as his invention.” In re Zahn, 617 F.2d 261, 204 USPQ 988 (CCPA 1980). Therefore, when visible portions of the article embodying the design are not shown, it is because they form no part of the claim to be protected. It is prima facie evidence that the scope of the claimed design is limited to those surfaces “as shown” in the application drawing(s) in the absence of any additional written disclosure. See MPEP § 1503.01, subsection II. “[T]he adequacy of the disclosure must be determined by reference to the scope asserted.” Philco Corp. v. Admiral Corp., 199 F. Supp. 797, 131 USPQ 413, 418 (D. Del. 1961). >However, it should be understood that when a surface or portion of an article is disclosed in full lines in the drawing it is considered part of the claimed design and its shape and appearance must be clearly and accurately depicted in order to satisfy the requirements of the first and second paragraphs of 35 U.S.C. 112.<

Only those surfaces of the article that are visible at the point of sale or during use must be disclosed to meet the requirement of 35 U.S.C. 112, first **>and second paragraphs<. “The drawing should illustrate the design as it will appear to purchasers and users, since the appearance is the only thing that lends pat­entability to it under the design law.” Ex parte Kohler, 1905 C.D. 192, 192, 116 O.G. 1185, 1185 (Comm’r Pat. 1905). The lack of disclosure of those surfaces of the article which are hidden during sale or use does not violate the * requirements of the first >and sec­ond< paragraph>s< of 35 U.S.C. 112 because the “patented ornamental design has no use other than its visual appearance....” In re Harvey, 12 F.3d 1061, 1064, 29 USPQ2d 1206, 1208 (Fed. Cir. 1993). Therefore, to make the “visual appearance” of the design merely involves the reproduction of what is shown in the drawings; it is not necessary that the functionality of the article be reproduced as this is not claimed. The function of a design is “that its appear­ance adds attractiveness, and hence commercial value, to the article embodying it.” Ex parte Cady, 1916 C.D. 57, 61, 232 O.G. 619, 621 (Comm’r Pat. 1916).

The undisclosed surfaces not seen during sale or use are not required to be described in the specifica­

tion even though the title of the design is directed to the complete article because the design is embodied only in those surfaces which are visible. Ex parte Salsbury, 38 USPQ 149, 1938 C.D. 6 (Comm’r Pat. 1938). While it is not necessary to show in the draw­ing those visible surfaces that are flat and * >devoid of surface ornamentation<, they should be described in the specification by way of a special description if they are considered part of the claimed design. Ex parte Salsbury, 38 USPQ 149, 1938 C.D. 6 (Comm’r Pat. 1938). Such special description may not be used to describe visible surfaces which include structure that is clearly not flat. Philco Corp. v. Admiral Corp., 199 F. Supp. 797, 131 USPQ 413 (D. Del. 1961). See also MPEP § 1503.02.

Applications filed in which the title (in the claim) defines an entire article but the drawings and the spec­ification fail to disclose portions or surfaces of the article that would be visible either during use or on sale, will not be considered to violate the * require­ments of the first >and second< paragraph>s< of 35 U.S.C. 112. Therefore, amendment to the title will not be required in such applications. However, examiners should include a statement in the first Office action on the merits (including a notice of allowability) indicat­ing that the surface(s) or portion(s) of the article that would be normally visible but are not shown in the drawing or described in the specification are under­stood to form no part of the claimed design and there­fore, the determination of patentability of the claimed design is based on the views of the article shown in the drawing and the description in the specification. Form paragraph 15.85 may be used for this purpose.

>When a claim is rejected under 35 U.S.C. 112, first and second paragraphs, as nonenabling and indefinite due to an insufficient drawing disclosure, examiners must specifically identify in the Office action what the deficiencies are in the drawing. A mere statement that the claim is nonenabling and indefinite due to the poor quality of the drawing is not a sufficient explanation of the deficiencies in the drawing disclosure. Examiners must specifically point out those portions of the drawing that are insufficient to permit an understanding of the shape and appear­ance of the design claimed, and, if possible, suggest how the rejection may be overcome. Form paragraphs 15.21 and 15.20.02 may be used.<

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DESIGN PATENTS 1504.04

When inconsistencies between the views of the drawings are so great that the overall appearance of the design is unclear, the claim should be rejected under 35 U.S.C. 112, first >and second< para-graph>s<, as nonenabling >and indefinite, and the rejection should specifically identify all of the inconsistencies between the views of the drawing<. Otherwise, inconsistencies between drawing views will be objected to by the examiner and correction required by the applicant. See MPEP § 1503.02.

>If the visual disclosure of the claimed design as originally filed is of such poor quality that its overall shape and appearance cannot be understood, applicant should be advised that the claim might be fatally defective by using form paragraph 15.65.

As indicated above, a narrative description in the specification can supplement the drawing disclosure to define the scope of protection sought by the claim. Furthermore, such description is incorporated into the claim by the use of the language “and described” therein. However, if a description in the specification refers to embodiments or modified forms not shown in the drawing, or includes vague and nondescriptive words such as “variations” and “equivalents,” or a statement indicating that the claimed design is not limited to the exact shape and appearance shown in the drawing, the claim should be rejected under 35 U.S.C. 112, first and second paragraphs, as nonen­abling and indefinite. The reason being the descrip­tion fails to enable a designer of ordinary skill in the art to reproduce the shape and appearance of those other embodiments, modified forms or “variations” and “equivalents” referred to in the description in the absence of additional drawing views. Furthermore, in the absence of additional drawing views, the descrip­tion, which is incorporated into the claim, fails to par­ticularly point out and distinctly claim the shape and appearance of those other embodiments, modified forms or “variations” and “equivalents” that appli­cants regard as their invention. Form paragraph 15.21 may be used to reject a claim for the above reasons.<

¶ 15.85 Undisclosed visible surface(s)/portion(s) of article not forming part of the claimed design

As the decision of In re Zahn, 617 F.2d 261, 204 USPQ 988 (CCPA 1980) holds that an ornamental design may be embodied in less than a complete article, it is understood that the surface(s) or portion(s) of the article that would normally be visible but are not shown in the drawing or described in the specification of the

present application form(s) no part of the claimed design. There­fore, the determination of patentability of the claimed design is based on the views of the article shown in the drawing and the description in the specification.

Examiner Note: In an examiner’s amendment, the above statement should be

included after form paragraph 13.02.

>

¶ 15.21 Rejection, 35 U.S.C. 112, First And Second Paragraphs

The claim is rejected under 35 U.S.C. 112, first and second paragraphs, as the claimed invention is not described in such full, clear, concise and exact terms as to enable any person skilled in the art to make and use the same, and fails to particularly point out and distinctly claim the subject matter which applicant regards as the invention.

The claim is indefinite and nonenabling [1].

Examiner Note: 1. This form paragraph should not be used when it is appropri­ate to make one or more separate rejections under the first and/or the second paragraph of 35 U.S.C. 112. 2. In bracket 1, a complete explanation of the basis for the rejection should be provided.

< **>

¶ 15.20.02 Suggestion To Overcome Rejection Under 35 U.S.C. 112, First and Second Paragraphs

It is suggested that applicant may submit large, clear informal drawings or photographs which show [1] in order that the exam­iner may be in a position to determine if the claim may be clarified without the addition of new matter (35 U.S.C. 132, 37 CFR 1.121). In the alternative, applicant may disclaim the areas or por­tions of the design which are considered indefinite and nonen­abling by converting them to broken lines and amend the specification to include a statement that the portions of the [2] shown in broken lines form no part of the claimed design.

Examiner Note: 1. In bracket 1, identify the areas or portions of the design which are unclear. 2. In bracket 2, insert title of the article.

<

¶ 15.65 Amendment May Not Be Possible The claim might be fatally defective; that is, it might not be

possible to [1] without introducing new matter (35 U.S.C. 132, 37 CFR 1.121).

Examiner Note: In bracket 1, identify portion of the claimed design which is

insufficiently disclosed.

**>

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1504.04 MANUAL OF PATENT EXAMINING PROCEDURE

¶ 15.73 Corrected Drawing Sheets Required Failure to submit replacement correction sheets overcoming all

of the deficiencies in the drawing disclosure set forth above, or an explanation why the drawing corrections or additional drawing views are not necessary will result in the rejection of the claim under 35 U.S.C. 112, first and second paragraphs, being made FINAL in the next Office action.

<

* New Matter

New matter is subject matter which has no anteced­ent basis in the original specification, drawings or claim (MPEP § 608.04). An amendment to the claim must have antecedent basis in the original disclosure. 35 U.S.C. 132; 37 CFR 1.121(f). Prior to final action, all amendments will be entered in the *>appli­cation< and will be considered by the examiner. Ex parte Hanback, 231 USPQ 739 (Bd. Pat. App. & Inter. 1986). An amendment to the claim which has no antecedent basis in the specification and/or drawings as originally filed introduces new matter because that subject matter is not described in the application as originally filed. The claim must be rejected under 35 U.S.C. 112, first paragraph. An amendment to the disclosure not affecting the claim (such as environ­ment in the title or in broken lines in the drawings), which has no antecedent basis in the application as originally filed, must be objected to under 35 U.S.C. 132 as lacking support in the application as originally filed and a requirement must be made to cancel the new matter.

The scope of a design claim is defined by what is shown in full lines in the application drawings. In re Mann, 861 F.2d 1581, 8 USPQ2d 2030 (Fed. Cir. 1988). The claim may be amended by broadening or narrowing its scope within the bounds of the disclo­sure as originally filed.

A change in the configuration of the claimed design is considered a departure from the original disclosure and introduces prohibited new matter (37 CFR 1.121(f)). See In re Salmon, 705 F.2d 1579, 217 USPQ 981 (Fed. Cir. 1983). This includes the removal of three-dimensional surface treatment that is an inte­gral part of the configuration of the claimed design, for example, beading, grooves, and ribs. The underly­ing configuration revealed by such an amendment would not be apparent in the application as filed and, therefore, it could not be established that applicant was in possession of this amended configuration at

the time the application was filed. >However, an amendment that changes the scope of a design by either reducing certain portions of the drawing to bro­ken lines or converting broken line structure to solid lines is not a change in configuration as defined by the court in Salmon. The reason for this is because appli­cant was in possession of everything disclosed in the drawing at the time the application was filed and the mere reduction of certain portions to broken lines or conversion of broken line structure to solid lines is not a departure from the original disclosure. Examiners are cautioned that if broken line structure is converted to solid lines by way of amendment, the shape and configuration of that structure must have been fully disclosed and enabling at the time the application was filed.< An amendment which alters the appearance of the claimed design by removing two-dimensional, superimposed surface treatment may be permitted if it is clear from the application that applicant had posses­sion of the underlying configuration of the design without the surface treatment at the time of filing of the application. See In re Daniels, 144 F.3d 1452, 1456-57, 46 USPQ2d 1788, 1790 (Fed. Cir. 1998).

Amendments to the title must have antecedent basis in the original application to be permissible. If an amendment to the title directed to the article in which the design is embodied has no antecedent basis in the original application, the claim will be rejected under 35 U.S.C. 112, first paragraph, as failing to comply with the written description requirement thereof. Ex parte Strijland, 26 USPQ2d 1259 (Bd. Pat. App. & Inter. 1992). If an amendment to the title directed to the environment in which the design is used has no antecedent basis in the original application, it will be objected to under 35 U.S.C. 132 as introducing new matter into the disclosure. See MPEP § 1503.01, sub­section I.

Examples of permissible amendments filed with the original application include: (A) a preliminary amend­ment filed simultaneously with the application papers, that is specifically identified in the original oath/dec-laration as required by 37 CFR 1.63 and MPEP § 608.04(b); and (B) the inclusion of a disclaimer in the original specification or on the drawings/photographs as filed. See 37 CFR 1.152 and MPEP § 1503.01 and § 1503.02.

An example of a permissible amendment submitted after the filing of the application would be an amend-

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DESIGN PATENTS 1504.04

ment that does not involve a departure from the con­figuration of the original disclosure (37 CFR 1.121(f)).

An example of an impermissible amendment which introduces new matter would be an amendment to the claim without antecedent basis in the original disclo­sure which would change the configuration or surface appearance of the original design by the addition of previously undisclosed subject matter. In re Berkman, 642 F.2d 427, 209 USPQ 45 (CCPA 1981).

When an amendment affecting the claim is submit­ted that introduces new matter into the drawing, spec­ification or title and a rejection under 35 U.S.C. 112, first paragraph is made, the examiner should specifi­cally identify in the Office action the subject matter which is not considered to be supported by the origi­nal disclosure. A statement by the examiner that merely generalizes that the amended drawing, specifi­cation or title contains new matter is not sufficient. Examiners should specifically identify the differences or changes made to the claimed design that are con­sidered to introduce new matter into the original dis­closure, and if possible, suggest how the amended drawing, specification or title can be corrected to overcome the rejection. Form paragraph 15.51 may be used.

If an amendment that introduces new matter into the claim is the result of a rejection under 35 U.S.C. 112, first >and second< paragraph>s< for lack of enablement >and indefiniteness<, and it is clear that the disclosure of the claimed design as originally filed cannot be corrected without the introduction of new matter, the record of the application should reflect that the claim is seen to be fatally defective. Form para­graph 15.65 may be used to set forth this position.

¶ 15.51 35 U.S.C. 112, First Paragraph Rejection (New Matter)

The claim is rejected under 35 U.S.C. 112, first paragraph as failing to comply with the description requirement thereof since the [1] introduces new matter not supported by the original disclo­sure. The original disclosure does not reasonably convey to a designer of ordinary skill in the art that applicant was in posses­sion of the design now claimed at the time the application was filed. See In re Daniels, 144 F.3d 1452, 46 USPQ2d 1788 (Fed. Cir. 1998); In re Rasmussen, 650 F.2d 1212, 211 USPQ 323 (CCPA 1981).

Specifically, there is no support in the original disclosure [2].

To overcome this rejection, applicant may attempt to demon­strate that the original disclosure establishes that he or she was in possession of the amended claim or [3].

Examiner Note: 1. In bracket 1, specify whether new drawing or amendment to the drawing, title or specification. 2. In bracket 2, specifically identify what is new matter so that the basis for the rejection is clear. 3. In bracket 3, insert specific suggestion how rejection may be overcome depending on the basis; such as, “the bracket in figures 3 and 4 of the new drawing may be corrected to correspond to the original drawing” or “the specification may be amended by delet­ing the special description.”

¶ 15.65 Amendment May Not Be Possible The claim might be fatally defective; that is, it might not be

possible to [1] without introducing new matter (35 U.S.C. 132, 37 CFR 1.121).

Examiner Note: In bracket 1, identify portion of the claimed design which is

insufficiently disclosed.

¶ 15.51.01 Amendment to Disclosure Not Affecting Claim ­35 U.S.C. 132 Objection (New Matter)

The [1] is objected to under 35 U.S.C. 132 and 37 CFR 1.121 as introducing new matter not supported by the original disclo­sure. The original disclosure does not reasonably convey to a designer of ordinary skill in the art that applicant was in posses­sion of the amended subject matter at the time the application was filed. See In re Rasmussen, 650 F.2d 1212, 211 USPQ 323 (CCPA 1981).

Specifically, there is no support in the original disclosure [2]. To overcome this objection, applicant may attempt to demon­

strate that the original disclosure establishes that he or she was in possession of the amended subject matter or [3].

Examiner Note: 1. In bracket 1, specify whether new drawing or amendment to the drawing, title or specification. 2. In bracket 2, specifically identify what is new matter so that the basis for the objection is clear. 3. In bracket 3, insert specific suggestion how the objection may be overcome depending on the basis; such as, “the broken line showing of environmental structure in Fig. 1 of the new draw­ing may be omitted to correspond to the original drawing” or “the title may be amended by deleting the reference to environmental structure”. *>

III. < 35 U.S.C. 112, SECOND PARAGRAPH

Defects in claim language give rise to a rejection of the claim under the second paragraph of 35 U.S.C. 112. The fact that claim language, including terms of degree, may not be precise, does not automatically render the claim indefinite under 35 U.S.C. 112, sec-

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1504.04 MANUAL OF PATENT EXAMINING PROCEDURE

ond paragraph. “[T]he definiteness of the language employed must be analyzed – not in a vacuum, but always in light of the teachings of the prior art and of the particular application disclosure as it would be interpreted by one possessing the ordinary level of skill in the pertinent art.” In re Moore, 439 F.2d 1232, 1235, 169 USPQ 236, 238 (CCPA 1971). A claim may appear indefinite when read in a vacuum, but may be definite upon reviewing the application dis­closure or prior art teachings. Moreover, an otherwise definite claim in a vacuum may be uncertain when reviewing the application disclosure and prior art. Moore, 439 F.2d at 1235 n.2, 169 USPQ at 238 n.2. See also MPEP § 2173.05(b).

Use of * phrases in the claim such as “or similar article,” “or the like,” or equivalent terminology has been held to be indefinite. See Ex parte Pappas, 23 USPQ2d 1636 (Bd. Pat. App. & Inter. 1992). How­ever, the use of broadening language such as “or the like,” or “or similar article” in the title when directed to the environment of the article embodying the design should not be the basis for a rejection under 35 U.S.C. 112, second paragraph. See MPEP § 1503.01, subsection I.

Examiners are reminded that there is no per se rule, and that the definiteness of claim language must be evaluated on the facts and circumstances of each application. The following form paragraphs may be used.

¶ 15.22.02 Rejection, 35 U.S.C. 112, 2nd Paragraph (“Or the Like” In Claim)

The claim is rejected under 35 U.S.C. 112, second paragraph, as being indefinite for failing to particularly point out and dis­tinctly claim the subject matter which applicant regards as the invention. The claim is indefinite because of the use of the phrase “[1]” following the title. Cancellation of said phrase in the claim and each occurrence of the title throughout the papers, except the oath or declaration, will overcome the rejection. See Ex parte Pappas, 23 USPQ2d 1636 (Bd. App. & Inter. 1992) and 37 CFR 1.153.

Examiner Note: 1. This rejection should be used where there is another rejection in the Office action. For issue with an examiner’s amendment, see form paragraph 15.69.01.

2. In bracket 1, insert --or the like-- or --or similar article--.

3. This form paragraph should not be used when “or the like” or “or similar article” in the title is directed to the environment of the article embodying the design.

¶ 15.69.01 Remove Indefinite Language (“Or The Like”) by Examiner’s Amendment

The phrase [1] in the claim following the title renders the claim indefinite. By authorization of [2] in a telephone interview on [3], the phrase has been cancelled from the claim and at each occur­rence of the title throughout the papers, except the oath or declara­tion (35 U.S.C. 112, second paragraph, and 37 CFR 1.153). See Ex parte Pappas, 23 USPQ2d 1636 (Bd. Pat. App. & Inter. 1992).

Examiner Note: In bracket 1, insert objectionable phrase, e.g., --or the like--, -­

or similar article--, etc.

>Rejections under 35 U.S.C. 112, second para­graph, should be made when the scope of protection sought by the claim cannot be determined from the disclosure. For instance, a drawing disclosure in which the boundaries between claimed (solid lines) and unclaimed (broken lines) portions of an article are not defined or cannot be understood may be enabling under 35 U.S.C. 112, first paragraph, in that the shape and appearance of the article can be reproduced, but such disclosure fails to particularly point out and dis­tinctly claim the subject matter that applicant regards as the invention. Form paragraph 15.22 may be used.

¶ 15.22 Rejection, 35 U.S.C. 112, 2nd Paragraph The claim is rejected under 35 U.S.C. 112, second paragraph,

as being indefinite for failing to particularly point out and dis­tinctly claim the subject matter which applicant regards as the invention.

The claim is indefinite [1].

Examiner Note: 1. Use this form paragraph when the scope of the claimed design cannot be determined. 2. In bracket 1, provide a full explanation of the basis for the rejection.

< The claim should be rejected as indefinite when it

cannot be determined from the designation of the design as shown in the drawing, referenced in the title and described in the specification what article of man­ufacture is being claimed, e.g., a design claimed as a “widget” which does not identify a known or recog­nizable article of manufacture. The following form paragraphs may be used.

**>

¶ 15.22.03 Rejection, 35 U.S.C. 112, Second Paragraph (Title Fails to Specify a Known Article of Manufacture)

The claim is rejected under 35 U.S.C. 112, second paragraph, as indefinite in that the title, as set forth in the claim, fails to iden-

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DESIGN PATENTS 1504.05

tify an article of manufacture and the drawing disclosure does not inherently identify the article in which the design is embodied. Ex parte Strijland, 26 USPQ2d 1259, 1263 (Bd. Pat. App. & Int. 1992). Therefore, any attempt to clarify the title by specifying the article in which the design is embodied may introduce new matter. See 35 U.S.C. 132 and 37 CFR 1.121.

<

¶ 15.21.01 Rejection, 35 U.S.C. 112 (Second Paragraph) (Information Requested)

The claim is rejected for failing to particularly point out and distinctly claim the invention as required in 35 U.S.C. 112, second paragraph. The title of the article in which the design is embodied or applied is too ambiguous and therefore indefinite for the exam­iner to make a proper examination of the claim under 37 CFR 1.104.

Applicant is therefore required to provide a sufficient explana­tion of the nature and intended use of the article in which the claimed design is embodied or applied, so that a proper classifica­tion and reliable search can be made. See 37 CFR 1.154(b)(1); MPEP 1503.01. Additional information, if available, regarding analogous fields of search, pertinent prior art, advertising bro­chures and the filing of copending utility applications would also prove helpful. If a utility application has been filed, please furnish its application number.

This information should be submitted in the form of a separate paper, and should not be inserted in the specification (37 CFR 1.56). See also 37 CFR 1.97, 1.98 and 1.99.

** Where the design claim would otherwise be patent­

able but for the presence of any rejection under 35 U.S.C. 112, first and/or second paragraphs, form paragraph 15.58.01 may be used.

¶ 15.58.01 Claimed Design Is Patentable (35 U.S.C. 112 Rejections)

The claimed design is patentable over the references cited. However, a final determination of patentability will be made upon resolution of the above rejection.

Form paragraphs 15.38 and 15.40.01 may be used in a second or subsequent actioh, where appropriate (see MPEP § 1504.02).

1504.05 Restriction [R-2]

General principles of utility restriction are set forth in Chapter 800 of the MPEP. These principles are also applicable to design restriction practice with the exception of those differences set forth in this section.

Unlike a utility patent application, which can con­tain plural claims directed to plural inventions, a design patent application may only have a single claim and thus must be limited to patentably indistinct

designs. Therefore, the examiner will require restric­tion in each design application which contains more than one patentably distinct design.

Restriction will be required under 35 U.S.C. 121 if a design patent application discloses multiple designs that are either independent or patentably distinct from each other and cannot be supported by a single claim. The issue of whether a search and examination of an entire application can be made without serious burden to an examiner (as noted in MPEP § 803) is not appli­cable to design applications when determining whether a restriction requirement should be made. >Clear admission on the record by the applicant that the embodiments are not patentably distinct will not overcome a requirement for restriction if the embodi­ments do not have overall appearances that are basi­cally the same as each other.< If multiple designs are held to be patentably indistinct and can be covered by a single claim, any rejection of one over prior art will apply equally to all. Ex parte Appeal No. 315-40, 152 USPQ 71 (Bd. App. 1965).

I. INDEPENDENT INVENTIONS

Design inventions are independent if there is no apparent relationship between two or more disparate articles disclosed in the drawings; for example, a pair of eyeglasses and a door handle; a bicycle and a cam­era; an automobile and a bathtub. Also note examples in MPEP § 806.04. Restriction in such cases is clearly proper. This situation may be rarely presented since design patent applications are seldom filed con­taining disclosures of independent articles.

II. DISTINCT INVENTIONS

Design inventions are distinct if the overall appear­ance of two or more embodiments of an article as dis­closed in the drawings are different in appearance or scope; for example, two embodiments of a brush, and their appearances are patentable (novel and unobvi­ous) over each other. Restriction in such cases is also clearly proper. Distinct designs may constitute either multiple embodiments of the same article or they may be related as a combination and subcombination of the overall design. In addition, applications that include one or more embodiments disclosing all sur­faces of an article as well as other embodiments dis­closing only a portion of an article must be evaluated to determine whether the differences in scope patent-

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1504.05 MANUAL OF PATENT EXAMINING PROCEDURE

ably distinguish the overall appearance of the fully disclosed embodiments over the partially disclosed embodiments. If the differences in scope between the embodiments render them patentably distinct, then restriction would be proper. In determining the ques­tion of patentable distinctness under 35 U.S.C. 121 in a design patent application, a search of the prior art may be necessary.

A. Multiple Embodiments - Difference in Appearance

It is permissible to illustrate more than one embodi­ment of a design invention in a single application. However, such embodiments may be presented only if they involve a single inventive concept and are not patentably distinct from one another. See In re Rubin-field, 270 F.2d 391, 123 USPQ 210 (CCPA 1959). Embodiments that are patentably distinct over one another do not constitute a single inventive concept and thus may not be included in the same design application. In re Platner, 155 USPQ 222 (Comm’r Pat. 1967). The disclosure of plural embodiments does not require or justify more than a single claim, which claim must be in the formal terms stated in MPEP § *>1503.01, subsection III<. The specification should make clear that multiple embodi­ments are disclosed and should particularize the dif­ferences between the embodiments. If the disclosure of any embodiment relies on the disclosure of another embodiment for completeness to satisfy the require­ments of 35 U.S.C. 112, first paragraph, the differ­ences between the embodiments must be identified either in the figure descriptions or by way of a special description in the specification of the application as filed. For example, the second embodiment of a cabi­net discloses a single view showing only the differ­ence in the front door of the cabinet of the first embodiment; the figure description should state that this view “is a second embodiment of Figure 1, the only difference being the configuration of the door, it being understood that all other surfaces are the same as those of the first embodiment.” This type of state­ment in the description is understood to incorporate the disclosure of the first embodiment to complete the disclosure of the second embodiment. However, in the absence of such a statement in the specification of an application as filed, the disclosure of one embodi­ment will normally not be permitted to provide ante­

cedent basis for any written or visual amendment to the disclosure of other embodiments.

The obviousness standard under 35 U.S.C. 103(a) must be applied in determining whether multiple embodiments may be retained in a single application. >See MPEP § 1504.03.< That is, **>it must first be determined whether the embodiments have overall appearances that are basically the same as each other. If the appearances of the embodiments are considered to be basically the same, then it must be determined whether the differences are either minor between the embodiments and not a patentable distinction, or< obvious to a designer of ordinary skill in view of the analogous prior art **>. If embodiments meet both of the above criteria they may< be retained in a single application. If * embodiments **>do not meet either one of the above criteria<, restriction must be required. >It should be noted, that if the embodiments do not have overall appearances that are basically the same, restriction must be required since their appear­ances are patentably distinct. In such case it doesn’t matter for restriction purposes, if the differences between the appearances of the embodiments are shown to be obvious in view of analogous prior art.<

Form paragraph 15.27.02 or 15.27.03, if appropri­ate, may be used to notify applicant that restriction is not required because the embodiments are not patent­ably distinct. **>

¶ 15.27.02 Restriction Not Required - Change In Appearance (First Action - Non Issue)

This application discloses the following embodiments: Embodiment 1 - Figs. [1] Embodiment 2 - Figs. [2] [3] Multiple embodiments of a single inventive concept may be

included in the same design application only if they are patentably indistinct. See In re Rubinfield, 270 F.2d 391, 123 USPQ 210 (CCPA 1959). Embodiments that are patentably distinct from one another do not constitute a single inventive concept and thus may not be included in the same design application. See In re Platner, 155 USPQ 222 (Comm’r Pat. 1967).

The above identified embodiments are considered by the examiner to present overall appearances that are basically the same. Furthermore, the differences between the appearances of the embodiments are considered minor and patentably indistinct, or are shown to be obvious in view of analogous prior art cited. Accordingly, they are deemed to be obvious variations and are being retained and examined in the same application. Any rejec­tion of one embodiment over prior art will apply equally to all other embodiments. See Ex parte Appeal No. 315-40, 152 USPQ

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DESIGN PATENTS 1504.05

71 (Bd. App. 1965). No argument asserting patentability based on the differences between the embodiments will be considered once the embodiments have been determined to comprise a single inventive concept. Failure of applicant to traverse this determina­tion in reply to this action will be considered an admission of lack of patentable distinction between the above identified embodi­ments.

Examiner Note: In bracket 3, add embodiments as necessary.

¶ 15.27.03 Restriction Not Required - Change In Appearance (First Action Issue)

This application discloses the following embodiments: Embodiment 1 - Figs. [1] Embodiment 2 - Figs. [2] [3] Multiple embodiments of a single inventive concept may be

included in the same design application only if they are patentably indistinct. See In re Rubinfield, 270 F.2d 391, 123 USPQ 210 (CCPA 1959). Embodiments that are patentably distinct from one another do not constitute a single inventive concept and thus may not be included in the same design application. See In re Platner, 155 USPQ 222 (Comm’r Pat. 1967).

The above identified embodiments are considered by the examiner to present overall appearances that are basically the same. Furthermore, the differences between the appearances of the embodiments are considered minor and patentably indistinct, or are shown to be obvious in view of analogous prior art cited. Accordingly, they are deemed to be obvious variations and are being retained and examined in the same application.

Examiner Note: In bracket 3, add embodiments as necessary.

< The following form paragraphs may be used in a

restriction requirement. >Examiners must include a brief explanation of the differences between the appearances of the embodiments that render them pat­entably distinct.

¶ 15.27 Restriction Under 35 U.S.C. 121 This application discloses the following embodiments: Embodiment 1 - Figs. [1] Embodiment 2 - Figs. [2] [3] Multiple embodiments of a single inventive concept may be

included in the same design application only if they are patentably indistinct. See In re Rubinfield, 270 F.2d 391, 123 USPQ 210 (CCPA 1959). Embodiments that are patentably distinct from one another do not constitute a single inventive concept and thus may not be included in the same design application. See In re Platner, 155 USPQ 222 (Comm’r Pat. 1967). The [4] create(s) patentably distinct designs.

Because of the differences identified, the embodiments are considered to either have overall appearances that are not basi­cally the same, or if they are basically the same, the differences

are not minor and patentably indistinct or are not shown to be obvious in view of analogous prior art.

The above embodiments divide into the following patentably distinct groups of designs:

Group I: Embodiment [5] Group II: Embodiment [6] [7] Restriction is required under 35 U.S.C. 121 to one of the above

identified patentably distinct groups of designs. A reply to this requirement must include an election of a single

group for prosecution on the merits, even if this requirement is traversed, 37 CFR 1.143. Any reply that does not include election of a single group will be held nonresponsive. Applicant is also requested to direct cancellation of all drawing figures and the cor­responding descriptions which are directed to the nonelected groups.

Should applicant traverse this requirement on the grounds that the groups are not patentably distinct, applicant should present evidence or identify such evidence now of record showing the groups to be obvious variations of one another. If the groups are determined not to be patentably distinct and they remain in this application, any rejection of one group over prior art will apply equally to all other embodiments. See Ex parte Appeal No. 315­40, 152 USPQ 71 (Bd. App. 1965). No argument asserting patent­ability based on the differences between the groups will be con­sidered once the groups have been determined to comprise a single inventive concept.

In view of the above requirement, action on the merits is deferred pending compliance with the requirement in accordance with Ex parte Heckman, 135 USPQ 229 (P.O. Super. Exam. 1960).

Examiner Note: 1. In bracket 3, add embodiments as necessary. 2. In bracket 4, insert an explanation of the difference(s) between the embodiments. 3. In bracket 7, add groups as necessary.

¶ 15.27.01 Restriction Under 35 U.S.C. 121 (Obvious Variations Within Group)

This application discloses the following embodiments: Embodiment 1 - Figs. [1] Embodiment 2 - Figs. [2] [3] Multiple embodiments of a single inventive concept may be

included in the same design application only if they are patentably indistinct. See In re Rubinfield, 270 F.2d 391, 123 USPQ 210 (CCPA 1959). Embodiments that are patentably distinct from one another do not constitute a single inventive concept and thus may not be included in the same design application. See In re Platner, 155 USPQ 222 (Comm’r Pat. 1967).

The above embodiments divide into the following patentably distinct groups of designs:

Group I: Embodiment [4] Group II: Embodiment [5] [6] The embodiments disclosed within each group have overall

appearances that are basically the same. Furthermore, the differ-

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1504.05 MANUAL OF PATENT EXAMINING PROCEDURE

ences between them are considered minor and patentably indis­tinct, or are shown to be obvious in view analogous prior art cited. Therefore, they are considered by the examiner to be obvious variations of one another within the group. These embodiments thus comprise a single inventive concept and are grouped together. However, the [7] patentably distinguishes each group from the other(s).

Because of the differences identified, the embodiments of each Group are considered to either have overall appearances that are not basically the same, or if they are basically the same, the differ­ences are not minor and patentably indistinct or are not shown to be obvious in view of analogous prior art.

Restriction is required under 35 U.S.C. 121 to one of the pat­entably distinct groups of the designs.

A reply to this requirement must include an election of a single group for prosecution on the merits, even if this requirement is traversed, 37 CFR 1.143. Any reply that does not include election of a single group will be held nonresponsive. Applicant is also requested to direct cancellation of all drawing figures and the cor­responding descriptions which are directed to the nonelected groups.

Should applicant traverse this requirement on the grounds that the groups are not patentably distinct, applicant should present evidence or identify such evidence now of record showing the groups to be obvious variations of one another. If the groups are determined not to be patentably distinct and they remain in this application, any rejection of one group over prior art will apply equally to all other groups. See Ex parte Appeal No. 315-40, 152 USPQ 71 (Bd. App. 1965). No argument asserting patentability based on the differences between the groups will be considered once the groups have been determined to comprise a single inven­tive concept.

In view of the above requirement, action on the merits is deferred pending compliance with the requirement in accordance with Ex parte Heckman, 135 USPQ 229 (P.O. Super. Exam. 1960).

Examiner Note:

1. In bracket 3, add embodiments as necessary. 2. In bracket 6, add groups as necessary. 3. In bracket 7, insert an explanation of the difference(s) between the groups.

¶ 15.28 Telephone Restriction Under 35 U.S.C. 121 This application discloses the following embodiments: Embodiment 1 - Figs. [1] Embodiment 2 - Figs. [2] [3]

Multiple embodiments of a single inventive concept may be included in the same design application only if they are patentably indistinct. See In re Rubinfield, 123 USPQ 210 (CCPA 1959). Embodiments that are patentably distinct from one another do not constitute a single inventive concept and thus may not be included in the same design application. See In re Platner, 155 USPQ 222 (Comm’ r Pat. 1967). The [4] create(s) patentably distinct designs. See In re Platner, 155 USPQ 222 (Comm’r Pat. 1967).

Because of the differences identified, the embodiments of each Group are considered to either have overall appearances that are not basically the same, or, if they are basically the same, the dif­ferences are not minor and patentably indistinct or are not shown to be obvious in view of analogous prior art.

The above disclosed embodiments divide into the following patentably distinct groups of designs:

Group I: Embodiment [5] Group II: Embodiment [6] [7] Restriction is required under 35 U.S.C. 121 to one of the pat­

entably distinct groups of designs. During a telephone discussion with [8] on [9], a provisional

election was made [10] traverse to prosecute the design(s) of group [11]. Affirmation of this election should be made by appli­cant in replying to this Office action.

Group [12] is withdrawn from further consideration by the examiner, 37 CFR 1.142(b), as being for a nonelected design(s).

Examiner Note:

1. In bracket 3, add embodiments as necessary. 2. In bracket 4, insert an explanation of the difference(s) between the embodiments. 3. In bracket 7, add groups as necessary. 4. In bracket 10, insert --with-- or --without--.

¶ 15.28.01 Telephone Restriction Under 35 U.S.C.121 (Obvious Variations Within Group)

This application discloses the following embodiments: Embodiment 1 – Figs. [1] Embodiment 2 – Figs. [2] [3] Multiple embodiments of a single inventive concept may be

included in the same design application only if they are patentably indistinct. See In re Rubinfield, 270 F.2d 391, 123 USPQ 210 (CCPA 1959). Embodiments that are patentably distinct from one another do not constitute a single inventive concept and thus may not be included in the same design application. See In re Platner, 155 USPQ 222 (Comm’r Pat. 1967).

The above embodiments divide into the following patentably distinct groups of designs:

Group I: Embodiment [4] Group II: Embodiment [5] [6] The embodiments disclosed within each group have overall

appearances that are basically the same. Furthermore, the differ­ences between them are considered minor and patentably indis­tinct, or are shown to be obvious in view of analogous prior art cited. Therefore, they are considered by the examiner to be obvi­ous variations of one another within the group. These embodi­ments thus comprise a single inventive concept and are grouped together. However, the [7] patentably distinguishes each group from the other(s).

Because of the differences identified, the embodiments of each Group are considered to either have overall appearances that are not basically the same, or if they are basically the same, the differ-

Rev. 2, May 2004 1500-44

DESIGN PATENTS 1504.05

ences are not minor and patentably indistinct or are not shown to be obvious in view of analogous prior art.

Restriction is required under 35 U.S.C. 121 to one of the pat­entably distinct groups of designs.

During a telephone discussion with [8] on [9], a provisional election was made [10] traverse to prosecute the design(s) of group [11]. Affirmation of this election should be made by appli­cant in replying to this Office action.

Group [12] is withdrawn from further consideration by the examiner, 37 CFR 1.142(b), as being for a nonelected design(s).

Examiner Note: 1. In bracket 3, add embodiments as necessary. 2. In bracket 6, add groups as necessary. 3. In bracket 7, insert an explanation of the differences between the groups. 4. In bracket 10, insert --with--or --without--.

<

¶ 15.31 Provisional Election Required (37 CFR 1.143) Applicant is advised that the reply to be complete must include

a provisional election of one of the enumerated designs, even though the requirement may be traversed (37 CFR 1.143).

B. Combination/Subcombination - Difference in Scope

A design claim covers the entire design as a whole. **>Furthermore, claim protection to the whole design does not extend to any individual part or portion thereof. See KeyStone Retaining Wall Systems Inc. v. Westrock Inc., 997 F.2d 1444, 27 USPQ2d 1297 (Fed. Cir. 1993). Embodiments directed to a design as a whole (combination) as well as individual parts or portions (subcombination) thereof may not be included in a single application if the appearances are patentably distinct. In such instance restriction would be required since patentably distinct combination/sub-combination subject matter must be supported by sep­arate claims.< However, a design claim may cover embodiments of different scope directed to the same inventive concept within a single application if the designs are not patentably distinct. In re Rubinfield, 270 F.2d 391, 123 USPQ 210 (CCPA 1959). The court held that the inventive concept of a design is not limited to its embodiment in a single specific article, and as long as the various embodiments are not pat­entably distinct, they may be protected by a single claim. Blumcraft of Pittsburgh v. Ladd, 144 USPQ 562 (D.D.C. 1965). The determination that the design of the subcombination/element is patentably indistinct

from the combination means that the designs are not patentable (novel and unobvious) over each other and may remain in the same application. If the embodi­ments are patentably distinct, the designs are consid­ered to be separate inventions which require separate claims, and restriction to one or the other is necessary. See In re Kelly, 200 USPQ 560 (Comm’r Pat. 1978); Ex parte Sanford, 1914 C.D. 69, 204 O.G. 1346 (Comm’r Pat. 1914); Ex parte Heckman, 135 USPQ 229 (P.O. Super. Exam. 1960). >In determining whether embodiments of different scope can be retained in a single application they must have overall appearances that are basically the same, and the dif­ference in scope must be minor and not a patentable distinction. That is, they must, by themselves, be con­sidered obvious over each other under 35 U.S.C. 103(a) without the aid of analogous prior art. The rea­son for this, as stated above, is because claim protec­tion to the whole design does not extend to any individual part or portion thereof. Therefore, if the difference in scope between embodiments has an impact on the overall appearance that distinguishes one over the other, they must be restricted since the difference in scope creates patentably distinct designs that must be supported by separate claims.< Form paragraph 15.27.04 or *>15.27.05<, if appropriate, may be used to notify applicant that restriction is not required because the embodiments required are not patentably distinct. **>

¶ 15.27.04 Restriction Not Required – Change In Scope (First Action – Non Issue)

This application discloses the following embodiments:Embodiment 1 – Figs. [1]Embodiment 2 – Figs. [2][3] Designs which involve a change in scope may be included in

the same design application only if they are patentably indistinct. However, design patent protection does not extend to patentably distinct segregable parts of a design. Ex parte Sanford, 1914 C.D. 69, 204 O.G. 1346 (Comm’r Pat. 1914); Blumcraft of Pittsburgh v. Ladd, 144 USPQ 562 (D.D.C. 1965).

The above identified embodiments are considered by the examiner to present overall appearances that are basically the same. Furthermore, the difference in scope between embodiments is considered minor and patentably indistinct. Accordingly, they are deemed to be obvious variations and are being retained and examined in the same application. Any rejection of one embodi­ment over prior art will apply equally to all other embodiments. Ex parte Appeal No. 315-40, 152 USPQ 71 (Bd. App. 1965). No argument asserting patentability based on the differences between

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1504.05 MANUAL OF PATENT EXAMINING PROCEDURE

the embodiments will be considered once the embodiments have been determined to comprise a single inventive concept. Failure of applicant to traverse this determination in reply to this Office action will be considered an admission of lack of patentable dis­tinction between the embodiments.

Examiner Note: In bracket 3, add embodiments as necessary.

¶ 15.27.05 Restriction Not Required – Change In Scope (First Action Issue)

This application discloses the following embodiments: Embodiment 1 – Figs. [1] Embodiment 2 – Figs. [2] [3] Designs which involve a change in scope may be included in

the same design application only if they are patentably indistinct. However, design patent protection does not extend to patentably distinct segregable parts of a design. Ex parte Sanford, 1914 C.D. 69, 204 O.G. 1346 (Comm’r Pat. 1914); Blumcraft of Pittsburgh v. Ladd, 144 USPQ 562 (D.D.C. 1965).

The above identified embodiments are considered by the examiner to present overall appearances that are basically the same. Furthermore, the difference in scope between embodiments is considered minor and patentably indistinct. Accordingly, they are deemed to be obvious variations and are being retained and examined in the same application.

Examiner Note: In bracket 3, add embodiments as necessary.

< Form paragraph 15.29 or 15.30, if appropriate, may

be used to make a restriction requirement.

¶ 15.29 Restriction Under 35 U.S.C. 121 (Segregable Parts or Combination/Subcombination)

This application discloses the following embodiments: Embodiment 1 – Figs. [1] drawn to a [2]. Embodiment 2 – Figs. [3] drawn to a [4]. [5] Restriction to one of the following inventions is required under

35 U.S.C. 121: Group I – Embodiment [6] Group II – Embodiment [7] [8] The designs as grouped are distinct from each other since

under the law a design patent covers only the invention disclosed as an entirety, and does not extend to patentably distinct segrega­ble parts; the only way to protect such segregable parts is to apply for separate patents. See Ex parte Sanford, 1914 CD 69, 204 OG 1346 (Comm’r Pat. 1914); and Blumcraft of Pittsburgh v. Ladd, 144 USPQ 562 (D.D.C. 1965). It is further noted that patentably distinct combination/subcombination subject matter must be sup­ported by separate claims, whereas only a single claim is permis­sible in a design patent application. See In re Rubinfield, 270 F.2d 391, 123 USPQ 210 (CCPA 1959).

[9]

Because the designs are distinct for the reason(s) given above, and have acquired separate status in the art, restriction for exami­nation purposes as indicated is proper (35 U.S.C. 121).

A reply to this requirement must include an election of a single group for prosecution on the merits, even if this requirement is traversed. 37 CFR 1.143. Any reply that does not include an elec­tion of a single group will be held nonresponsive. Applicant is also requested to direct cancellation of all drawing figures and the corresponding descriptions which are directed to the nonelected groups.

Should applicant traverse this requirement on the grounds that the groups are not patentably distinct, applicant should present evidence or identify such evidence now of record showing the groups to be obvious variations of one another. If the groups are determined not to be patentably distinct and they remain in this application, any rejection of one group over the prior art will apply equally to all other groups. See Ex parte Appeal No. 315-40, 152 USPQ 71 (Bd. App. 1965). No argument asserting patentabil­ity based on the differences between the groups will be considered once the groups have been determined to comprise a single inven­tive concept.

In view of the above requirement, action on the merits is deferred pending compliance with the requirement in accordance with Ex parte Heckman, 135 USPQ 229 (P.O. Super. Exam. 1960).

Examiner Note: 1. In bracket 5, add embodiments as necessary. 2. In bracket 8, add groups as necessary. 3. In bracket 9, add comments, if necessary.

¶ 15.30 Telephone Restriction Under 35 U.S.C. 121 (Segregable Parts or Combination/Subcombination)

This application discloses the following embodiments: Embodiment 1 – Figs. [1] drawn to a [2]. Embodiment 2 – Figs. [3] drawn to a [4]. [5] Restriction to one of the following inventions is required under

35 U.S.C. 121: Group I – Embodiment [6] Group II – Embodiment [7] [8] The designs as grouped are distinct from each other since

under the law a design patent covers only the invention disclosed as an entirety, and does not extend to patentably distinct segrega­ble parts; the only way to protect such segregable parts is to apply for separate patents. See Ex parte Sanford, 1914 CD 69, 204 OG 1346 (Comm’r Pat. 1914); and Blumcraft of Pittsburgh v. Ladd, 144 USPQ 562 (D.D.C. 1965). It is further noted that patentably distinct combination/subcombination subject matter must be sup­ported by separate claims, whereas only a single claim is permis­sible in a design patent application. See In re Rubinfield, 270 F.2d 391, 123 USPQ 210 (CCPA 1959).

[9] During a telephone discussion with [10] on [11], a provisional

election was made [12] traverse to prosecute the invention of Group [13]. Affirmation of this election should be made by appli­cant in replying to this Office action.

Rev. 2, May 2004 1500-46

DESIGN PATENTS 1504.05

Group [14] withdrawn from further consideration by the exam­iner, 37 CFR 1.142(b) as being for a nonelected invention.

Examiner Note: 1. In bracket 5, add embodiments as necessary. 2. In bracket 8, add groups as necessary. 3. In bracket 9, insert additional comments, if necessary.

Form paragraph 15.27.06 or 15.27.07, if appropri­ate, may be used to notify applicant that restriction is not required because the designs are not patentably distinct. **>

¶ 15.27.06 Restriction Not Required (Change in Appearance and Scope – First Action Non Issue)

This application discloses the following embodiments: Embodiment 1 - Figs. [1] drawn to a [2]. Embodiment 2 - Figs. [3] drawn to a [4]. [5] Embodiments [6] involve a difference in appearance. Multiple

embodiments of a single inventive concept may be included in the same design application only if they are patentably indistinct. In re Rubinfield, 270 F.2d 391, 123 USPQ 210 (CCPA 1959). Embodiments that are patentably distinct from one another do not constitute a single inventive concept and thus may not be included in the same design application. In re Platner, 155 USPQ 222 (Comm’r Pat. 1967).

Embodiment(s) [7] directed to the combination(s) in relation to Embodiment(s) [8] directed to the subcombination(s)/element(s). Designs which involve a change in scope may be included in the same design application only if they are patentably indistinct. However, design protection does not extend to patentably distinct segregable parts of a design. Ex parte Sanford, 1914 C.D. 69, 204 O.G. 1346 (Comm’r Pat. 1914); Blumcraft of Pittsburgh v. Ladd, 144 USPQ 562 (D.D.C.1965).

The above identified embodiments are considered by the examiner to present overall appearances that are basically the same. Furthermore, the differences between embodiments are considered minor and patentably indistinct, or are shown to be obvious in view of analogous prior art cited. Accordingly, they are deemed to be obvious variations and are being retained and exam­ined in the same application. Any rejection of one embodiment over prior art will apply equally to all other embodiments. Ex parte Appeal No. 315-40, 152 USPQ 71 (Bd. App. 1965). No argument asserting patentability based on the differences between the embodiments will be considered once the embodiments have been determined to comprise a single inventive concept. Failure of applicant to traverse this determination in reply to this action will be considered an admission of lack of patentable distinction between the embodiments.

Examiner Note: 1. In bracket 5, add embodiments as necessary. 2. Insert an explanation of the differences between the designs in the explanations of the embodiments; for example, Figs. 1 – 5 directed to a cup and saucer; Figs. 6 – 9 directed to a saucer.

3. It is possible and proper that embodiments may be listed in both explanatory paragraphs.

¶ 15.27.07 Restriction Not Required (Change in Appearance and Scope – First Action Issue)

This application discloses the following embodiments: Embodiment 1 – Figs. [1] drawn to a [2]. Embodiment 2 – Figs. [3] drawn to a [4]. [5] Embodiment(s) [6] involve a difference in appearance. Multi­

ple embodiments of a single inventive concept may be included in the same design application only if they are patentably indistinct. In re Rubinfield, 270 F.2d 391, 123 USPQ 210 (CCPA 1959). Embodiments that are patentably distinct from one another do not constitute a single inventive concept and thus may not be included in the same design application. In re Platner, 155 USPQ 222 (Comm’r Pat. 1967).

Embodiment(s) [7] directed to the combination(s) in relation to Embodiment(s) [8] directed to the subcombination(s)/element(s). Designs which involve a change in scope may be included in the same design application only if they are patentably indistinct. However, design protection does not extend to patentably distinct segregable parts of a design. Ex parte Sanford, 1914 C.D. 69, 204 O.G. 1346 (Comm’r Pat. 1914); Blumcraft of Pittsburgh v. Ladd, 144 USPQ 562 (D.D.C.1965).

The above identified embodiments are considered by the examiner to present overall appearances that are basically the same. Furthermore, the differences between embodiments are considered minor and patentably indistinct, or are shown to be obvious in view of analogous prior art cited. Accordingly, they were deemed to be obvious variations and are being retained and examined in the same application. Accordingly, they were deemed to comprise a single inventive concept and have been examined together.

Examiner Note: 1. In bracket 5, add embodiments as necessary. 2. Insert an explanation of the differences between the designs in the explanations of the embodiments; for example, Figs. 1 – 5 directed to a cup and saucer; Figs. 6 – 9 directed to a saucer. 3. It is possible and proper that embodiments may be listed in both explanatory paragraphs.

< The following form paragraphs may be used in a

restriction requirement. **>

Examiners must include a brief explanation of the differences between embodiments that render them patentably distinct.

¶ 15.27.08 Restriction with Differences in Appearance and Scope

This application discloses the following embodiments: Embodiment 1: Figs. [1] drawn to a [2]. Embodiment 2: Figs. [3] drawn to a [4]. [5]

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1504.05 MANUAL OF PATENT EXAMINING PROCEDURE

The above embodiments divide into the following patentably distinct groups of designs:

Group I: Embodiment [6] Group II: Embodiment [7] [8] Group(s) [9] involve a difference in appearance. Multiple

embodiments of a single inventive concept may be included in the same design application only if they are patentably indistinct. In re Rubinfield, 270 F.2d 391, 123 USPQ 210 (CCPA 1959). Embodiments that are patentably distinct from one another do not constitute a single inventive concept and thus may not be included in the same design application. In re Platner, 155 USPQ 222 (Comm’r Pat. 1967). The [10] creates patentably distinct designs.

Because of the differences identified, the embodiments are considered to either have overall appearances that are not basi­cally the same, or if they are basically the same, the differences are not minor and patentably indistinct or are not shown to be obvious in view of analogous prior art.

Group(s) [11] directed to the combination(s) in relation to Group(s) [12] directed to the subcombinbation(s)/element(s). The designs as grouped are distinct from each other since under the law a design patent covers only the design disclosed as an entirety, and does not extend to patentably distinct segregable parts; the only way to protect such segregable parts is to apply for separate patents. Ex parte Sanford, 1914 C.D. 69, 204 O.G. 1346 (Comm’r Pat. 1914); Blumcraft of Pittsburgh v. Ladd, 144 USPQ 562 (D.D.C.1965). It is further noted that combination/subcombina-tion subject matter, if patentably distinct, must be supported by separate claims, whereas only a single claim is permissible in a design patent application. In re Rubinfield, 270 F.2d 391, 123 USPQ 210 (CCPA 1959).

In any groups that include multiple embodiments, the embodi­ments are considered by the examiner to be obvious variations of one another within the group and, therefore, patentably indistinct. These embodiments thus comprise a single inventive concept and are grouped together.

Restriction is required under 35 U.S.C. 121 to one of the pat­entably distinct groups of designs.

A reply to this requirement must include an election of a single group for prosecution on the merits even if this requirement is tra­versed. 37 CFR 1.143. Any reply that does not include an election of a single group will be held nonresponsive. Applicant is also requested to direct cancellation of all drawing figures and the cor­responding descriptions which are directed to the nonelected groups.

Should applicant traverse this requirement on the grounds that the groups are not patentably distinct, applicant should present evidence or identify such evidence now of record showing the groups to be obvious variations of one another. If the groups are determined not to be patentably distinct and they remain in this application, any rejection of one group over prior art will apply equally to all other groups. Ex parte Appeal No. 315-40, 152 USPQ 71 (Bd. App. 1965). No argument asserting patentability based on the differences between the groups will be considered once the groups have been determined to comprise a single inven­tive concept.

In view of the above requirement, action on the merits is deferred pending compliance with the requirement in accordance with Ex parte Heckman, 135 USPQ 229 (P.O. Super. Exam. 1960).

Examiner Note: 1. In bracket 5, add embodiments as necessary. 2. In bracket 8, add embodiments as necessary. 3. Insert an explanation of the differences between the designs in the explanations of the embodiments; for example, Figs. 1 – 5 directed to a cup and saucer; Figs. 6 – 9 directed to a saucer. 4. It is possible and proper that embodiments may be listed in both explanatory paragraphs. 5. In bracket 10, insert an explanation of the differences between the designs.

¶ 15.28.02 Telephone Restriction with Differences in Appearance and Scope

This application discloses the following embodiments: Embodiment 1: Figs. [1] drawn to a [2]. Embodiment 2: Figs. [3] drawn to a [4]. [5] The above embodiments divide into the following patentably

distinct groups of designs: Group I: Embodiment [6] Group II: Embodiment [7] [8] Group(s) [9] involve a difference in appearance. Multiple

embodiments of a single inventive concept may be included in the same design application only if they are patentably indistinct. In re Rubinfield, 270 F.2d 391, 123 USPQ 210 (CCPA 1959). Embodiments that are patentably distinct from one another do not constitute a single inventive concept and thus may not be included in the same design application. In re Platner, 155 USPQ 222 (Comm’r Pat. 1967). The [10] creates patentably distinct designs.

Because of the differences identified, the embodiments are considered to either have overall appearances that are not basi­cally the same, or if they are basically the same, the differences are not minor and patentably indistinct or are not shown to be obvious in view of analogous prior art.

Group(s) [11] directed to the combination(s) in relation to Group(s) [12] directed to the subcombination(s)/element(s). The designs as grouped are distinct from each other since under the law a design patent covers only the design disclosed as an entirety, and does not extend to patentably distinct segregable parts; the only way to protect such segregable parts is to apply for separate patents. Ex parte Sanford, 1914 C.D. 69, 204 O.G. 1346 (Comm’r Pat. 1914); Blumcraft of Pittsburg v. Ladd, 144 USPQ 562 (D.D.C.1965). It is further noted that combination/subcombina-tion subject matter, if patentably distinct, must be supported by separate claims, whereas only a single claim is permissible in a design patent application. In re Rubinfield, 270 F.2d 391, 123 USPQ 210 (CCPA 1959).

In any groups that include multiple embodiments, the embodi­ments are considered by the examiner to be obvious variations of one another within the group and, therefore, patentably indistinct. These embodiments thus comprise a single inventive concept and are grouped together.

Rev. 2, May 2004 1500-48

DESIGN PATENTS 1504.05

Restriction is required under 35 U.S.C. 121 to one of the pat­entably distinct groups of designs.

During a telephone discussion with [13] on [14], a provisional election was made [15] traverse to prosecute the invention of Group [16]. Affirmation of this election should be made by appli­cant in replying to this Office action.

Group [17] is withdrawn from further consideration by the examiner, 37 CFR 1.142(b), as being for a nonelected invention.

Examiner Note: 1. In bracket 5, add embodiments as necessary. 2. In bracket 8, add groups as necessary. 3. Insert an explanation of the differences between the designs in the explanations of the embodiments; for example, Figs. 1 – 5 directed to a cup and saucer; Figs. 6 – 9 directed to a saucer. 4. It is possible and proper that embodiments may be listed in both explanatory paragraphs. 5. In bracket 10, insert an explanation of the differences between the designs. 6. In bracket 15, insert --with-- or --without--.

<

¶ 15.33 Qualifying Statement To Be Used In Restriction When A Common Embodiment Is Included In More Than One Group

The common embodiment is included in more than a single group as it is patentably indistinct from the other embodiment(s) in those groups and to give applicant the broadest possible choices in his or her election. If the common embodiment is elected in this application, then applicant is advised that the common embodi­ment should not be included in any continuing application to avoid a rejection on the ground of double patenting under 35 U.S.C. 171 in the new application.

The following form paragraphs may be used to notify applicant that the nonelected invention(s) are withdrawn from consideration. **>

¶ 15.34 Groups Withdrawn From Consideration After Traverse

Group [1] withdrawn from further consideration by the exam­iner, 37 CFR 1.142(b), as being for a nonelected design, the requirement having been traversed in the reply filed on [2].

¶ 15.35 Cancel Nonelected Design (Traverse) The restriction requirement maintained in this application is or

has been made final. Applicant must cancel Group [1] directed to the design(s) nonelected with traverse in the reply filed on [2], or take other timely appropriate action (37 CFR 1.144).

¶ 15.36 Groups Withdrawn From Consideration Without Traverse

Group [1] withdrawn from further consideration by the exam­iner, 37 CFR 1.142(b), as being for the nonelected design. Elec­tion was made without traverse in the reply filed on [2].

¶ 15.37 Cancellation of Nonelected Groups, No Traverse In view of the fact that this application is in condition for

allowance except for the presence of Group [1] directed to a design or designs nonelected without traverse in the reply filed on [2], and without the right to petition, such Group(s) have been canceled.

<

>

III. TRAVERSAL OF RESTRICTION RE­QUIREMENT

If a response to a restriction requirement includes an election with traverse on the grounds that the groups are not patentably distinct, applicant must present evidence or identify such evidence of record showing the groups to be obvious variations of one another. Traversal of a restriction requirement alone without an explanation in support thereof will be treated as an election without traverse. See MPEP § 818.03(a) and form paragraph 8.25.02.

A traversal of a restriction requirement based on there being no serious burden to an examiner to search and examine an entire application (as noted in MPEP § 803) is not applicable to design patent appli­cations. The fact that the embodiments may be searched together cannot preclude a requirement for restriction if their appearances are considered patent­ably distinct, since patentably distinct embodiments cannot be supported by a single formal design claim. Also, clear admission on the record by the applicant that the embodiments are not patentably distinct (as noted in MPEP § 809.02(a)) will not overcome a requirement for restriction if the embodiments do not have overall appearances that are basically the same as each other.

When a traversal specifically points out the sup­posed errors in a restriction, examiners must reevalu­ate the requirement in view of these remarks. If the restriction requirement is to be maintained, it must be repeated and made final in the next Office action and the arguments answered. See MPEP § 821.01. No application should be allowed on the next Office action where a response to a restriction requirement includes an election with traverse, unless the traversal is withdrawn in view of a telephone interview, or the examiner withdraws the restriction requirement.<

1500-49 Rev. 2, May 2004

1504.06 MANUAL OF PATENT EXAMINING PROCEDURE

1504.06 Double Patenting [R-2]

There are generally two types of double patenting rejections. One is the “same invention” type double patenting rejection based on 35 U.S.C. 171 which states in the singular that an inventor “may obtain a patent.” The second is the “nonstatutory-type” double patenting rejection based on a judicially created doc­trine grounded in public policy and which is primarily intended to prevent prolongation of the patent term by prohibiting claims in a second patent not patentably distinct from claims in a first patent. Nonstatutory double patenting includes rejections based on one-way determination of obviousness, and two-way determination of obviousness.

The charts in MPEP § 804 outline the procedure for handling all double patenting rejections.

Double patenting rejections are based on a compar­ison of the claims in a patent and an application or between two applications; the disclosure of the patent or application may be relied upon only to define the claim. 35 U.S.C. 171 specifically states that “a patent” may be obtained if certain conditions are met; this use of the singular makes it clear that only one patent may issue for a design.

Determining if a double patenting rejection is appropriate involves * answering the following inquiries: Is the same design being claimed twice? If the answer is yes, then a rejection under 35 U.S.C. 171 should be given on the grounds of “same inven­tion” type double patenting. If not, are the designs directed to patentably indistinct variations of the same inventive concept? If the answer is yes, then a rejec­tion based on the nonstatutory type double patenting should be given.

Double patenting rejections are based on a compar­ison of claims. While there is a direct correlation between the drawings in a design application and the claim, examiners must be aware that no such correla­tion is necessary in a utility application or patent. Sev­eral utility patents may issue with the identical drawing disclosure but with claims directed to differ­ent inventions. So any consideration of possible dou­ble patenting rejections between a utility application or patent with a design application cannot be based on the utility drawing disclosure alone. Anchor Hocking Corp. v. Eyelet Specialty Co., 377 F. Supp. 98, 183 USPQ 87 (D. Del. 1974). The examiner must be

able to recreate the design claimed from the utility claims without any reliance whatsoever on the draw­ings.

If a provisional double patenting rejection (of any type) is the only rejection remaining in two conflict­ing applications, the examiner should withdraw that rejection in one of the applications (e.g., the applica­tion with the earlier filing date) and permit the appli­cation to issue as a patent. The examiner should maintain the provisional double patenting rejection in the other application which rejection will be con­verted into a double patenting rejection when the first application issues as a patent. If more than two appli­cations conflict with each other and one is allowed, the remaining applications should be cross rejected against the others as well as the allowed application. For this type of rejection to be appropriate, there must be either at least one inventor in common, or a com­mon assignee. If the claims in copending design appli­cations or a design patent and design applications have a common assignee but different inventive enti­ties, rejections under 35 U.S.C. 102(e), (f) and (g)/ 103(a) must be considered in addition to the double patenting rejection. See MPEP § 804, § 2136, § 2137 and § 2138.

I. “SAME INVENTION” DOUBLE PATENT­ING REJECTIONS

A design - design statutory double patenting rejec­tion based on 35 U.S.C. 171 prevents the issuance of a second patent for a design already patented. For this type of double patenting rejection to be proper, identi­cal designs with identical scope must be twice claimed. In re Goodman, 11 F.3d 1046, 29 USPQ2d 2010 (Fed. Cir. 1993). A design - utility “same inven­tion” double patenting rejection is based on judicial doctrine as there is no statutory basis for this rejection because neither 35 U.S.C. 101 nor 35 U.S.C. 171 can be applied against both claims. In re Thorington, 418 F.2d 528, 163 USPQ 644 (CCPA 1969). The “same invention” type of double patenting rejection, whether statutory or nonstatutory, cannot be overcome by a terminal disclaimer. In re Swett, 145 F.2d 631, 172 USPQ 72 (CCPA 1971).

¶ 15.23.02 Summary for “Same Invention” – Type Double Patenting Rejections

Applicant is advised that a terminal disclaimer may not be used to overcome a “same invention” type double patenting rejection.

Rev. 2, May 2004 1500-50

DESIGN PATENTS 1504.06

In re Thorington, 418 F.2d 528, 163 USPQ 644 (CCPA 1969); MPEP § 804.02.

Examiner Note: This form paragraph should follow all “same invention” type

double patenting rejections.

¶ 15.23 35 U.S.C. 171 Double Patenting Rejection (Design-Design)

The claim is rejected under 35 U.S.C. 171 on the ground of double patenting since it is claiming the same design as that claimed in United States Design Patent No. [1].

Examiner Note: Form paragraph 15.23.02 should follow all “same invention”

type double patenting rejections.

¶ 15.23.01 35 U.S.C. 171 Provisional Double Patenting Rejection (Design-Design)

The claim is provisionally rejected under 35 U.S.C. 171 on the ground of double patenting since it is claiming the same design as that claimed in copending Application No. [1]. This is a provi­sional double patenting rejection since the conflicting claims have not in fact been patented.

Examiner Note: Form paragraph 15.23.02 should follow all “same invention”

type double patenting rejections.

¶ 15.24.07 Double Patenting Rejection (Design-Utility) The claim is rejected under the judicially created doctrine of

double patenting as being directed to the same invention as that set forth in claim [1] of United States Patent No. [2]. See In re Thorington, 418 F.2d 528,163 USPQ 644 (CCPA 1969).

Examiner Note: Form paragraph 15.23.02 should follow all “same invention”

type double patenting rejections.

¶ 15.24.08 Provisional Double Patenting Rejection (Design-Utility)

The claim is provisionally rejected under the judicially created doctrine of double patenting as being directed to the same inven­tion as that set forth in claim [1] of copending Application No. [2]. See In re Thorington, 418 F.2d 528,163 USPQ 644 (CCPA 1969).

This is a provisional double patenting rejection because the claims have not in fact been patented.

Examiner Note: Form paragraph 15.23.02 should follow all “same invention”

type double patenting rejections.

**

II. NONSTATUTORY DOUBLE PATENTING REJECTIONS

A rejection based on nonstatutory double patenting is based on a judicially created doctrine grounded in

public policy so as to prevent the unjustified or improper timewise extension of the right to exclude granted by a patent. In re Goodman, 11 F.3d 1046, 29 USPQ2d 2010 (Fed. Cir. 1993).

A nonstatutory double patenting rejection of the obviousness-type applies to claims directed to the same inventive concept with different appearances or differing scope which are patentably indistinct from each other. Nonstatutory categories of double patent­ing rejections which are not the “same invention” type may be overcome by the submission of a terminal dis­claimer.

An obviousness-type double patenting rejection must be based on the obviousness standard of 35 U.S.C. 103(a). That is, >the conflicting designs must have overall appearances that are basically the same, and the< differences between **>them< must either be **>minor and patentably indistinct< or ** obvious to a designer of ordinary skill in the art ** in view of *>analogous< prior art or case law. If the claims are considered obvious under 35 U.S.C. 103(a), an obviousness-type double patenting rejec­tion must be made. While the earlier patent (if less than a year older than the application) or application is not technically “prior art,” the principle involved is the same. In re Zickendraht, 319 F.2d 225, 138 USPQ 22 (CCPA 1963)(see concurring opinion of Judge Rich).

In determining whether to make an obviousness-type double patenting rejection between designs hav­ing differing scope, the examiner should compare the reference claim with the application claim. A rejec­tion is appropriate if:

(A) The difference in scope is **>minor and pat­entably indistinct between< the claims being com­pared;

(B) Patent protection for the design, fully dis­closed in and covered by the claim of the reference, would be extended by the allowance of the claim in the later filed application; and

(C) No terminal disclaimer has been filed.

This kind of obviousness-type double patenting rejection in designs will occur between designs which may be characterized as a combination (narrow claim) and a subcombination/element thereof (broad claim). >See discussion in MPEP § 1504.05, subsection II, B.< If the designs are patentably indistinct and are

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1504.06 MANUAL OF PATENT EXAMINING PROCEDURE

directed to the same inventive concept the examiner must determine whether the subject matter of the nar­rower claim is fully disclosed in and covered by the broader claim of the reference. If the reference does not fully disclose the narrower claim, then a double patenting rejection should not be made. The addi­tional disclosure necessary to establish that the appli­cant was in possession of the narrower claim at the time the broader claim was filed may be in a title or special description as well as in a broken line showing in the drawings. If the broader claim of the reference does not disclose the additional subject matter claimed in the narrower claim, then applicant could not have claimed the narrower claim at the time the application with the broader claim was filed and a rejection under nonstatutory double patenting would be inappropriate.

A nonstatutory double patenting rejection may be made between a patent and an application or provi­sionally between applications. Such rejection over a patent should only be given if the patent issued less than a year before the filing date of the application. If the patent is more than a year older than the applica­tion, the patent is considered to be “prior art” which may be applied in a rejection under 35 U.S.C. 102(b)/ 103(a). The purpose of a terminal disclaimer is to obviate a double patenting rejection by removing potential harm to the public by issuing a second patent. See MPEP § 804.

If the issue of double patenting is raised between a patent and a continuing application, examiners are reminded that this ground of rejection can only be made when the filing of the continuing application is voluntary and not the direct, unmodified result of restriction requirement under 35 U.S.C. 121. See MPEP § 804.01.

Examiners should particularly note that a design-design nonstatutory double patenting rejection does not always have to be made in both of the conflicting applications. For the most part, these rejections will be made in each of the conflicting applications; but, if the rejection is only appropriate in one direction, it is proper to reject only one application. The criteria for determining whether a one-way obviousness determi­nation is necessary or a two-way obviousness deter­mination is necessary is set forth in MPEP § 804. However, in design-utility situations, a two-way obvi­ousness determination is necessary for the rejection to

be proper. In re Dembiczak, 175 F.3d 994, 50 USPQ2d 1614 (Fed. Cir. 1999).

The following form paragraphs may be used in making a double patenting rejection. >Explanation should be provided in the appropriate brackets.<

¶ 15.24.06 Basis for Nonstatutory Double Patenting, “Heading Only”

The non-statutory double patenting rejection is based on a judi­cially created doctrine grounded in public policy (a policy reflected in the statute) so as to prevent the unjustified or improper timewise extension of the “right to exclude” granted by a patent and to prevent possible harassment by multiple assignees. See In re Goodman, 11 F.3d 1046, 29 USPQ2d 2010 (Fed. Cir. 1993); In re Longi, 759 F.2d 887, 225 USPQ 645 (Fed. Cir. 1985); In re Van Ornum, 686 F.2d 937, 214 USPQ 761 (CCPA 1982); In re Vogel, 422 F.2d 438, 164 USPQ 619 (CCPA 1970); and In re Thorington, 418 F.2d 528, 163 USPQ 644 (CCPA 1969).

A timely filed terminal disclaimer in compliance with 37 CFR 1.321(c) may be used to overcome an actual or provisional rejec­tion based on a nonstatutory double patenting ground provided the conflicting application or patent is shown to be commonly owned with this application. See 37 CFR 1.130(b).

Effective January 1, 1994, a registered attorney or agent of record may sign a terminal disclaimer. A terminal disclaimer signed by the assignee must fully comply with 37 CFR 3.73(b).

Examiner Note: This form paragraph must precede all nonstatutory double pat­

enting rejections as a heading, except “same invention” type.

**>

¶ 15.24 Obviousness-type Double Patenting Rejection (Single Reference)

The claim is rejected under the judicially created doctrine of the obviousness-type double patenting of the claim in United States Patent No. [1]. Although the conflicting claims are not identical, they are not patentably distinct from each other because [2].

Examiner Note: 1. In bracket 1, insert prior U.S. Patent Number. 2. In bracket 2, the differences between the conflicting claims must be identified and indicated as being minor and not distin­guishing the overall appearance of one over the other. 3. This form paragraph must be preceded by form paragraph 15.24.06 and followed by form paragraph 15.67.

¶ 15.24.03 Provisional Obviousness-Type Double Patenting Rejection (Single Reference)

The claim is provisionally rejected under the judicially created doctrine of the obviousness-type double patenting of the claim of copending Application No. [1]. Although the conflicting claims are not identical, they are not patentably distinct from each other because [2]. This is a provisional obviousness-type double pat-

Rev. 2, May 2004 1500-52

DESIGN PATENTS 1504.10

enting rejection because the conflicting claims have not in fact been patented.

Examiner Note: 1. In bracket 1, insert conflicting application number. 2. In bracket 2, the differences between the conflicting claims must be identified and indicated as being minor and not distin­guishing the overall appearance of one over the other. 3. This form paragraph must be preceded by form paragraph 15.24.06 and followed by form paragraph 15.67. <

¶ 15.67 Rationale for 35 U.S.C. 103(a) Rejection (Single Reference)

It is well settled that it is unobviousness in the overall appear­ance of the claimed design, when compared with the prior art, rather than minute details or small variations in design as appears to be the case here, that constitutes the test of design patentability. See In re Frick, 275 F.2d 741, 125 USPQ 191 (CCPA 1960) and In re Lamb, 286 F.2d 610, 128 USPQ 539 (CCPA 1961).

**>

¶ 15.25 Obviousness-Type Double Patenting Rejection (Multiple References)

The claim is rejected under the judicially created doctrine of the obviousness-type double patenting of the claim(s) in United States Patent No. [1] in view of [2]. At the time applicant made the design, it would have been obvious to a designer of ordinary skill in the art to [3] as demonstrated by [4].

Examiner Note: 1. In bracket 1, insert conflicting patent number. 2. In bracket 2, insert secondary reference(s). 3. In bracket 3, insert an explanation of how the conflicting claim in the patent is modified. 4. In bracket 4, identify the secondary reference(s) teaching the modification(s). 5. This form paragraph must be preceded by form paragraph 15.24.06 and followed by form paragraph 15.68.

¶ 15.24.04 Provisional Obviousness-Type Double Patenting Rejection (Multiple References)

The claim is provisionally rejected under the judicially created doctrine of the obviousness-type double patenting of the claim of copending Application No. [1] in view of [2]. At the time appli­cant made the design, it would have been obvious to a designer of ordinary skill in the art to [3] as demonstrated by [4]. This is a provisional obviousness-type double patenting rejection because the conflicting claims have not in fact been patented.

Examiner Note: 1. In bracket 1, insert conflicting application number. 2. In bracket 2, insert secondary reference(s). 3. In bracket 3, insert an explanation of how the conflicting claim in the copending application is modified. 4. In bracket 4, identify the secondary reference(s) teaching the modification(s).

5. This form paragraph must be preceded by form paragraph 15.24.06 and followed by form paragraph 15.68.

<

¶ 15.68 Rationale for 35 U.S.C. 103(a) Rejection (Multiple References)

This modification of the basic reference in light of the second­ary prior art is proper because the applied references are so related that the appearance of features shown in one would suggest the application of those features to the other. See In re Rosen, 673 F.2d 388, 213 USPQ 347 (CCPA 1982); In re Carter, 673 F.2d 1378, 213 USPQ 625 (CCPA 1982), and In re Glavas, 230 F.2d 447, 109 USPQ 50 (CCPA 1956). Further, it is noted that case law has held that a designer skilled in the art is charged with knowl­edge of the related art; therefore, the combination of old elements, herein, would have been well within the level of ordinary skill. See In re Antle, 444 F.2d 1168,170 USPQ 285 (CCPA 1971) and In re Nalbandian, 661 F.2d 1214, 211 USPQ 782 (CCPA 1981).

1504.10 Priority Under 35 U.S.C. 119(a)-(d) [R-2]

35 U.S.C. 172. Right of priority. The right of priority provided for by subsections (a) through

(d) of section 119 of this title and the time specified in section 102(d) shall be six months in the case of designs. The right of pri­ority provided for by section 119(e) of this title shall not apply to designs.

The provisions of 35 U.S.C. 119(a)-(d) apply to design patent applications. However, in order to obtain the benefit of an earlier foreign filing date, the United States application must be filed within 6 months of the earliest date on which any foreign application for the same design was filed. Design applications may not make a claim for priority of a provisional application under 35 U.S.C. 119(e).

¶ 15.01 Conditions Under 35 U.S.C. 119(a)-(d) Applicant is advised of conditions as specified in 35 U.S.C.

119(a)-(d). An application for a design patent for an invention filed in this country by any person who has, or whose legal repre­sentatives have previously filed an application for a design patent, or equivalent protection for the same design in a foreign country which offers similar privileges in the case of applications filed in the United States or in a WTO member country, or to citizens of the United States, shall have the same effect as the same applica­tion would have if filed in this country on the date on which the application for patent for the same invention was first filed in such foreign country, if the application in this country is filed within six (6) months from the earliest date on which such foreign applica­tion was filed.

>

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1504.20 MANUAL OF PATENT EXAMINING PROCEDURE

¶ 15.01.01 Conditions Under 35 U.S.C. 172 Not Met The claim for priority under 35 U.S.C. 119(a)-(d) to the [1]

application is acknowledged, however, the claim for priority can­not be based on such application since it was filed more than six (6) months before the filing of the application in the United States. 35 U.S.C 172.

Examiner Note: 1. In bracket, insert the name of the foreign country.<**>

¶ 15.03 Untimely Priority Papers Receipt is acknowledged of the filing on [1] of a certified copy

of the [2] application referred to in the oath or declaration. A claim for priority cannot be based on said application, since the United States application was filed more than six (6) months thereafter (35 U.S.C. 172).

< The United States will recognize claims for the

right of priority under 35 U.S.C. 119(a)-(d) based on applications filed under such bilateral or multilateral treaties as the “Hague Agreement Concerning the International Deposit of Industrial Designs>,<” ** “Uniform Benelux Act on Designs and Models” >and “European Community Design.”< In filing a claim for priority of a foreign application previously filed under such a treaty, certain information must be sup­plied to the United States Patent and Trademark Office. In addition to the application number and the date of filing of the foreign application, the following information is required:

(A) the name of the treaty under which the appli­cation was filed,

(B) the name of at least one country other than the United States in which the application has the effect of, or is equivalent to, a regular national filing and

(C) the name and location of the national or inter­governmental authority which received the applica­tion.

**>

¶ 15.02 Right of Priority Under 35 U.S.C. 119(b) No application for design patent shall be entitled to the right of

priority under 35 U.S.C. 119(b) unless a claim therefor and a cer­tified copy of the original foreign application, specification and drawings upon which it is based are filed in the United States Patent and Trademark Office before the issue fee is paid, or at such time during the pendency of the application as required by the Director not earlier than six (6) months after the filing of the application in this country. Such certification shall be made by the Patent Office, or other proper authority of the foreign country in

which filed, and show the date of the application and of the filing of the specification and other papers. The Director may require a translation of the papers filed if not in the English language, and such other information as deemed necessary.

< The notation requirement on design patent applica­

tion file wrappers when foreign priority is claimed is set forth in MPEP § 202.03. **>

¶ 15.04 Priority Under Bilateral or Multilateral Treaties The United States will recognize claims for the right of priority

under 35 U.S.C. 119(a)-(d) based on applications filed under such bilateral or multilateral treaties as the Hague Agreement Concern­ing the International Deposit of Industrial Designs, the Benelux Designs Convention and European Community Design. In filing a claim for priority of a foreign application previously filed under such a treaty, certain information must be supplied to the United States Patent and Trademark Office. In addition to the application number and the date of filing of the application, the following information is requested: (1) the name of the treaty under which the application was filed; (2) the name of at least one country other than the United States in which the application has the effect of, or is equivalent to, a regular national filing; and (3) the name and location of the national or international governmental author­ity which received such application.

¶ 15.52 Examination of Priority Papers While the U.S. Patent and Trademark Office does not normally

examine the priority papers to determine whether the applicant is in fact entitled to the right of priority, in the case of a Design Patent application, the priority papers will normally be inspected to determine that the foreign application is in fact for the same invention as the application in the United States (35 U.S.C. 119). Inspection of the papers herein indicates that the prior foreign application was not for the same invention as claimed in this application. Accordingly, the priority claim is improper.

< Attention is also directed to the paragraphs dealing

with the requirements where an actual model was originally filed in Germany (MPEP § 201.14(b)).

See MPEP Chapter 200 and 37 CFR 1.55 for fur­ther discussion of the practice and procedure under 35 U.S.C. 119(a)-(d).

1504.20 Benefit Under 35 U.S.C. 120 [R-2]

35 U.S.C. 120. Benefit of earlier filing date in the United States.

An application for patent for an invention disclosed in the man­ner provided by the first paragraph of section 112 of this title in an application previously filed in the United States, or as provided by section 363 of this title, which is filed by an inventor or inventors

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DESIGN PATENTS 1504.20

named in the previously filed application shall have the same effect, as to such invention, as though filed on the date of the prior application, if filed before the patenting or abandonment of or ter­mination of proceedings on the first application or on an applica­tion similarly entitled to the benefit of the filing date of the first application and if it contains or is amended to contain a specific reference to the earlier filed application. No application shall be entitled to the benefit of an earlier filed application under this sec­tion unless an amendment containing the specific reference to the earlier filed application is submitted at such time during the pen­dency of the application as required by the Director. The Director may consider the failure to submit such an amendment within that time period as a waiver of any benefit under this section. The Director may establish procedures, including the payment of a surcharge, to accept an unintentionally delayed submission of an amendment under this section.

If applicant is entitled under 35 U.S.C. 120 to the benefit of an earlier U.S. filing date, the statement that, “This is a division [continuation] of design Application No.— — — —, filed — — —.” should appear in the first sentence of the specification. As set forth in 37 CFR 1.78(a)(2), the specification must contain or be amended to contain such a reference in the first sentence following the title unless the refer­ence is included in an application data sheet (37 CFR 1.76). The failure to timely submit such a reference is considered a waiver of any benefit under 35 U.S.C. 120.

>Form paragraph 15.26 may be used to remind applicant that a reference to the prior application must be included in the first sentence of the specification or in an application data sheet.

¶ 15.26 Identification of Prior Application(s) in Nonprovisional Applications - Benefit of Priority Claimed

Applicant is reminded of the following requirement:

In a continuation or divisional application (other than a continued prosecution application filed under 37 CFR 1.53(d)), the first sentence of the specification or the appli­cation data sheet (37 CFR 1.76) should include a reference to the prior application(s) from which benefit of priority is claimed. See 37 CFR 1.78. The following format is sug­gested: “This is a continuation (or division) of Application No.________, filed ________, now (abandoned, pending or U.S. Patent No.________).”

< Attention is directed to the requirements for “con­

tinuing” applications set forth in MPEP § 201.07, § 201.08, and § 201.11. Applicants are entitled to claim the benefit of the filing date of earlier applica­tions for later claimed inventions under 35 U.S.C. 120

only when the earlier application discloses that inven­tion in the manner required by 35 U.S.C. 112, first paragraph. In all continuation and divisional applica­tions, a determination must be made by the examiner as to whether the conditions for priority under 35 U.S.C. 120 have been met. The disclosure of the claimed design in a continuation and divisional appli­cation must be the same as that of the original applica­tion. If this condition is not met, *>the application< is not entitled to the benefit of the earlier filing date and the examiner should notify applicant accordingly by specifying the reasons why applicant is not entitled to claim the benefit under 35 U.S.C. 120. Form para­graphs 2.09 and 2.10 may be used >followed by a spe­cific explanation as to why the later filed application fails to comply with the requirements of 35 U.S.C 120<. The examiner should also require applicant to cancel the claim for priority in the first sentence of the specification.

In the absence of a statement in the application as originally filed incorporating by reference the disclo­sure of an earlier filed application, the disclosure in a continuing application may not be amended to con­form to that of the earlier filed application for which priority is claimed. A mere statement that an applica­tion is a continuation or division of an earlier filed application is not an incorporation of anything into the application containing such reference for purposes of satisfying the disclosure requirements of 35 U.S.C. 112, first paragraph. In re de Seversky, 474 F.2d 671, 177 USPQ 144 (CCPA 1973). See also MPEP 608.01(p).

When the first application is found to be fatally defective under 35 U.S.C. 112 because of insufficient disclosure to support an allowable claim and such position has been made of record by the examiner, a second design patent application filed as an alleged “continuation-in-part” of the first application to sup­ply the deficiency is not entitled to the benefit of the earlier filing date. See Hunt Co. v. Mallinckrodt Chemical Works, 177 F.2d 583, 83 USPQ 277 (F2d Cir. 1949) and cases cited therein. Also, a design application filed as a “continuation-in-part” that changes the shape or configuration of a design dis­closed in an earlier application is not entitled to the benefit of the filing date of the earlier application. See In re Salmon, 705 F.2d 1579, 217 USPQ 981 (Fed. Cir. 1983). >However, a later filed application that

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1504.20 MANUAL OF PATENT EXAMINING PROCEDURE

changes the scope of a design claimed in an earlier filed application by reducing certain portions of the drawing to broken lines is not a change in configura­tion as defined by the court in Salmon. See MPEP § 1504.04, subsection II.<

Unless the filing date of an earlier application is actually needed, for example, in the case of an inter­ference or to avoid an intervening reference, there is no need for the examiner to make a determination in a continuation-in-part application as to whether the requirement of 35 U.S.C. 120 is met. Note the hold­ings in In re Corba, 212 USPQ 825 (Comm’r Pat. 1981).

Form paragraph 15.74 may be used in a first Office action on the merits in any application >identified as a continuation-in-part< which claims priority under 35 U.S.C. 120 to a prior application.

¶ 15.74 Continuation-In-Part Caution Reference to this design application as a continuation-in-part

under 35 U.S.C. 120 is acknowledged. Applicant is advised that design case law holds that any change to the shape or configura­tion of a design disclosed in an earlier application constitutes an entirely new design that cannot rely upon the earlier one for prior­ity. See In re Salmon, 705 F.2d 1579, 217 USPQ 981 (Fed. Cir. 1983). Therefore, a later filed application that changes the shape or configuration of a design disclosed in a prior application does not satisfy the written description requirement of 35 U.S.C. 112, first paragraph, under 35 U.S.C. 120 and is not entitled to benefit of the earlier filing date. In addition, where an application is found to be fatally defective under 35 U.S.C. 112 because of an inade­quatedisclosure to support an allowable claim, a second design patent application filed as an alleged “continuation-in-part” of the first application to supply the deficiency is not entitled to the ben­efit of the earlier filing date. See Hunt Co. v. Mallinckrodt Chemi­cal Works, 177 F.2d 583, 83 USPQ 277 (Fed. Cir. 1949). However, unless the filing date of the earlier application is actu­ally needed, such as to avoid intervening prior art, the entitlement to priority in this CIP application will not be considered. See In re Corba, 212 USPQ 825 (Comm’r Pat. 1981).

Examiner Note: This form paragraph should be used in the first action on the

merits in any application which claims priority under 35 U.S.C. 120 as a continuation-in-part.

Where a continuation-in-part application claims benefit under 35 U.S.C. 120 of the filing date of an earlier application, a determination as to the propriety of this claim must be made if the earlier application claims the benefit of a foreign application under 35 U.S.C. 119(a) - (d). To determine the status of the for­eign application, the charts in MPEP § 1504.02 should be used. If the conditions of 35 U.S.C. 120 are

not met, then the claim for benefit of the earlier filing date under 35 U.S.C. 120 as a continuation-in-part should be denied and the claim for priority under 35 U.S.C. 119(a) - (d) should also be denied. If the foreign application for patent/registration has matured into a form of patent protection and would anticipate or render the claim in the alleged CIP application obvious, the design shown in the foreign application papers would qualify as prior art under 35 U.S.C. 102(d)/172 and the claim should be rejected under 35 U.S.C. 102/103. Form paragraph 15.75 may be used.

¶ 15.75 Preface to Rejection in Alleged CIP Based on 35 U.S.C. 102(d)/172

Reference to this design application as a continuation-in-part under 35 U.S.C. 120 is acknowledged. Applicant is advised that design case law holds that any change to the shape or configura­tion of a design disclosed in an earlier application constitutes an entirely new design that cannot rely upon the earlier one for prior­ity. See In re Salmon, 705 F.2d 1579, 217 USPQ 981 (Fed. Cir. 1983). Therefore, a later filed application that changes the shape or configuration of a design disclosed in a prior application, as in the present case, does not satisfy the written description require­ment of 35 U.S.C. 112, first paragraph, under 35 U.S.C. 120 and is not entitled to benefit of the earlier filing date.

The parent application claimed foreign priority under 35 U.S.C. 119(a) - (d). Insofar as the foreign application has matured into a patent/registration more than six months before the filing date of the present application, it qualifies as prior art under 35 U.S.C. 102(d)/172.

Examiner Note: This form paragraph should be followed with a rejection under

35 U.S.C. 102 or 103(a) depending on the difference(s) between this claim and the design shown in the priority papers.

>If the status of the foreign application cannot be determined the following form paragraph should be used instead.

¶ 15.75.01 C-I-P Caution, Claim to Foreign Priority in Earlier Filed Application

Reference to this application as a continuation-in-part under 35 U.S.C. 120 is acknowledged. Applicant is advised that design case law holds that any change to the shape or configuration of a design disclosed in an earlier application constitutes an entirely new design that cannot rely upon the earlier one for priority. See In re Salmon et al., 705 F.2d 1579, 217 USPQ 981(Fed. Cir. 1983). Therefore, a later filed application that changes the shape or configuration of a design disclosed in a prior application does not satisfy the written description requirement of 35 U.S.C. 112, first paragraph, under 35 U.S.C. 120 and is not entitled to benefit of the earlier filing date.

However, unless the filing date of the earlier application is actually needed, such as to avoid intervening prior art, entitlement

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DESIGN PATENTS 1504.30

to priority in this CIP application will not be considered. See In re Corba, 212 USPQ 825 (Comm’r Pat. 1981).

The parent application claimed foreign priority under 35 U.S.C. 119(a) - (d). Applicant is reminded that if the foreign appli­cation to which priority was claimed matured into a form of patent protection prior to the filing of this application it qualifies as prior art under 35 U.S.C. 102(d)/172.

< Where the conditions of 35 U.S.C. 120 are met, a

design application may be considered a continuing application of an earlier utility application. Con­versely, this also applies to a utility application rely­ing on the benefit of the filing date of an earlier filed design application. See In re Chu, 66 F.3d 292, 36 USPQ2d 1089 (Fed. Cir. 1995); In re Salmon, 705 F.2d 1579, 217 USPQ 981 (Fed. Cir. 1983). In addition, a design application may claim benefit from an earlier filed PCT application under 35 U.S.C. 120 if the U.S. was designated in the PCT application.

Note also In re Berkman, 642 F.2d 427, 209 USPQ 45 (CCPA 1981) where the benefit of a design patent application filing date requested under 35 U.S.C. 120 was denied in the later filed utility application of the same inventor. The Court of Customs and Patent Appeals took the position that the design application did not satisfy 35 U.S.C. 112, first paragraph, asrequired under 35 U.S.C. 120.**

1504.30 Expedited Examination [R-2]

37 CFR 1.155. Expedited examination of design applications

(a) The applicant may request that the Office expedite the examination of a design application. To qualify for expedited examination.

(1) The application must include drawings in compliance with § 1.84;

(2) The applicant must have conducted a preexamination search; and

(3) The applicant must file a request for expedited exami­nation including:

(i) The fee set forth in § 1.17(k); and (ii) A statement that a preexamination search was con­

ducted. The statement must also indicate the field of search and include an information disclosure statement in compliance with § 1.98.

(b) The Office will not examine an application that is not in condition for examination (e.g, missing basic filing fee) even if the applicant files a request for expedited examination under this section.

37 CFR 1.155 establishes an expedited procedure for design applications. This expedited procedure became effective on September 8, 2000 and is avail­able to all design applicants who first conduct a pre­liminary examination search and file a request for expedited treatment accompanied by the fee specified in 37 CFR 1.17(k). This expedited treatment is intended to fulfill a particular need by affording rapid design patent protection that may be especially impor­tant where marketplace conditions are such that new designs on articles are typically in vogue for limited periods of time.

A design application may qualify for expedited examination provided the following requirements are met:

(A) A request for expedited examination is filed (Form PTO/SB/27 may be used);

(B) The design application is complete and it includes drawings in compliance with 37 CFR 1.84 (see 37 CFR 1.154 and MPEP § 1503 concerning the requirements for a complete design application);

(C) A statement is filed indicating that a preexam­ination search was conducted (a search made by a for­eign patent office satisfies this requirement). The statement must also include a list of the field of search such as by U.S. Class and Subclass (including domes­tic patent documents, foreign patent documents and nonpatent literature);

(D) An information disclosure statement in com­pliance with 37 CFR 1.98 is filed;

(E) The basic design application filing fee set forth in 37 CFR 1.16(f) is paid; and

(F) The fee for expedited examination set forth in 37 CFR 1.17(k) is paid.

EXPEDITED EXAMINATION PROCEDURE

Design applications requesting expedited examina­tion and complying with the requirements of 37 CFR 1.155 are examined with priority and undergo expe­dited processing throughout the entire course of pros­ecution in the Office, including appeal, if any, to the Board of Patent Appeals and Interferences. All pro­cessing is expedited from the date the request is granted.

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1504.30 MANUAL OF PATENT EXAMINING PROCEDURE

Design applicants seeking expedited examination may file a design application in the Office together with a corresponding request under 37 CFR 1.155 by hand-delivering the application papers and the request directly to the Design Technology Center (TC) Direc-tor’s Office. For applicants who choose to file a design application and the corresponding request under 37 CFR 1.155 by mail, the envelope should be addressed to:

**>

Mail Stop Expedited Design Commissioner for Patents P.O. Box 1450 Alexandria, VA 22313-1450 <

*>Mail Stop< Expedited Design should only be used for the initial filing of design applications accompanied by a corresponding request for expe­dited examination under 37 CFR 1.155. *>Mail Stop< Expedited Design should NOT be used for a request under 37 CFR 1.155 filed subsequent to the filing of the corresponding design application. Instead, a sub­sequently filed request under 37 CFR 1.155 should be made by facsimile transmission to the **>centralized facsimile number 703-872-9306 with the notation “SPECIAL PROCEDURES SUBMISSION” included at the top of the first page and< the corresponding application number >identified<.

Design application filings addressed to * >Mail Stop< Expedited Design will be forwarded immedi­ately to the Design TC Director’s office. Whether an application requesting expedited examination is hand-delivered to the Design TC Director’s office or mailed to * >Mail Stop< Expedited Design, expedited pro­cessing is initiated at the Design TC Director’s office provided the application (including the design appli­cation filing fee) is in condition for examination and a complete request under 37 CFR 1.155 (including the fee specified at 37 CFR 1.17(k)) qualifies the applica­tion for expedited examination.

Upon a decision by the Design TC Director to grant the request for expedited examination, >the< fees are immediately processed, the application papers are promptly assigned an application number, and the application is dispatched to an examiner for expedited examination. In addition, the applicant is

notified that examination is being expedited. The expedited treatment under 37 CFR 1.155 occurs through initial examination processing and throughout the entire prosecution in the Office. Whereas, an application granted special status pursuant to a suc­cessful “petition to make special” under MPEP § 708.02 is prioritized while it is on the examiner’s docket so that the application will be examined out of turn responsive to each successive communication from the applicant requiring Office action. For a pat­entable design application, the expedited treatment under 37 CFR 1.155 would be a streamlined filing-to-issuance procedure. This procedure further expedites design application processing by decreasing clerical processing time as well as the time spent routing the application between processing steps.

Although a request under 37 CFR 1.155 may be filed subsequent to the filing of the design application, it is recommended that the request and the corre­sponding design application be filed together in order to optimize expeditious processing.

If an application requesting expedited examination is incomplete (not in condition for examination), an appropriate notice will be mailed to the applicant identifying the reasons why the application is incom­plete and requiring correction thereof. The Office will not examine an application that is not in condition for examination even if the applicant files a request for expedited examination.

If an application requesting expedited examination fails to comply with one or more of the requirements for expedited examination under 37 CFR 1.155, but the application is otherwise complete, the applicant will be promptly notified and required to comply with all requirements under 37 CFR 1.155 within a short­ened time period extendable under 37 CFR 1.136(a). Unless all requirements under 37 CFR 1.155 are timely met, the application will await action in its reg­ular turn.

Once a request under 37 CFR 1.155 is granted, examiners will expedite examination by examining the application out-of-turn. Examiners are strongly encouraged to use telephone interviews to resolve minor problems. Clerical processing of the applica­tion will be expedited as well.

If the overall appearance of two or more patentably distinct embodiments of an article as disclosed in the drawings are different in appearance or scope,

Rev. 2, May 2004 1500-58

1509 DESIGN PATENTS

restriction will be required in accordance with MPEP § 1504.05. If applicant refuses to make an election without traverse, the application will not be further examined at that time, and the application will await action in its regular turn. Divisional appli­cations directed to nonelected inventions will not qualify for expedited examination unless the divi­sional application meets on its own all requirements for expedited examination under 37 CFR 1.155. Simi­larly, expedited status will not carry over to a continu­ing application, including a CPA, unless the continuing application meets on its own all require­ments for expedited examination under 37 CFR 1.155.

Once a request for expedited examination is granted, prosecution will proceed according to the procedure under 37 CFR 1.155. There is no provision for “withdrawal” from expedited examination proce­dure.

1505 Allowance and Term of Design Patent

35 U.S.C. 173. Term of design patent. Patents for designs shall be granted for the term of fourteen

years from the date of grant.

1509 Reissue of a Design Patent [R-2]

See MPEP Chapter 1400 for practice and procedure in reissue applications. >See also MPEP § 1457 regarding design reissue applications.<

For design reissue application fee, see 37 CFR 1.16(h). For fee for issuing a reissue design patent, see 37 CFR 1.18(b).

The term of a design patent may not be extended by reissue. Ex parte Lawrence, 70 USPQ 326 (Comm’r Pat. 1946). >If a reissue application is filed for the purpose of correcting the drawing of a design patent, either by canceling views, amending views or adding new views, the provisions of 37 CFR 1.173(b)(3) must be followed. All changes to the patent drawing shall be explained, in detail, beginning on a separate sheet accompanying the papers including the amend­ment to the drawing. A marked-up copy of any amended drawing figure, including annotations indi­cating the changes made, should be submitted. The marked-up copy must be clearly labeled as “Anno­tated Marked-up Drawings” and it must be presented

in the amendment or remarks section that explains the change to the drawing.

A reissue application must be filed with a copy of all drawing views of the design patent regardless of whether certain views are being cancelled or amended in the reissue application. Inasmuch as the drawing is the primary means for showing the design being claimed, it is important for purposes of comparison that the reissue of the design patent shows a changed drawing view in both its canceled and amended ver­sions and/or show a previously printed drawing view that has been canceled but not replaced. In addition to drawing views that are unchanged from the original design patent, the drawing in the reissue application may include the following views, all of which will be printed as part of the design reissue patent:

(1) CANCELED drawing view. Such a drawing view must be surrounded by brackets and must be labeled as “Canceled.” For example, FIG. 3 (Can­celed). If a drawing view is canceled but not replaced the corresponding figure description in the reissue specification must also be cancelled. However, if a drawing view is cancelled and replaced by an amended drawing view the corresponding figure description in the reissue specification may or may not need to be amended.

(2) AMENDED drawing view. Such a drawing view must be labeled as “Amended.” For example, FIG. 3 (Amended). When an amended drawing view is present, there may or may not be a corresponding canceled drawing view. If there is such a correspond­ing canceled drawing view, the amended and canceled drawing views should have the same figure number. The specification of the reissue application need not indicate that there is both a canceled version and an amended version of the drawing view.

(3) NEW drawing view. Such a drawing view must be labeled as “New” For example, FIG. 5 (New). The new drawing view should have a new figure number, that is, a figure number that did not appear in the orig­inal design patent. The specification of the reissue application must include a figure description of the new drawing view.

If a drawing view includes both a cancelled and amended version, and the change in the amended ver­sion is for the purpose of converting certain solid lines to broken lines, the reissue specification must include

1500-59 Rev. 2, May 2004

MANUAL OF PATENT EXAMINING PROCEDURE

a statement indicating the purpose of the broken lines.<

1510 Reexamination

See MPEP Chapter 2200 for practice and procedure for reexamination applications.

1511 Protest

See MPEP Chapter 1900 for practice and procedure in protest.

1512 Relationship Between Design Patent, Copyright, and Trademark [R-2]

I. DESIGN PATENT/COPYRIGHT OVER­LAP

There is an area of overlap between copyright and design patent statutes where the author/inventor can secure both a copyright and a design patent. Thus an ornamental design may be copyrighted as a work of art and may also be subject matter of a design patent. The author/inventor may not be required to elect between securing a copyright or a design patent. See In re Yardley, 493 F.2d 1389, 181 USPQ 331. In Mazer v. Stein, 347 U.S. 201, 100 USPQ 325 (1954), the Supreme Court noted the election of protection doctrine but did not express any view on it since a design patent had been secured in the case and the issue was not before the Court.

See form paragraph 15.55 which repeats this infor­mation.

II. INCLUSION OF COPYRIGHT NOTICE

It is the policy of the U.S. Patent and Trademark Office to permit the inclusion of a copyright notice in a design patent application, and thereby any patent issuing therefrom, under the following conditions.

(A) A copyright notice must be placed adjacent to the copyright material and, therefore, may appear at any appropriate portion of the patent application dis­closure including the drawing. However, if appearing on the drawing, the notice must be limited in print size from 1/8 inch to 1/4 inch and must be placed within the “sight” of the drawing immediately below the fig­ure representing the copyright material. If placed on a drawing in conformance with these provisions, the

notice will not be objected to as extraneous matter under 37 CFR 1.84.

(B) The content of the copyright notice must be limited to only those elements required by law. For example, “© 1983 John Doe” would be legally suffi­cient under 17 U.S.C. 401 and properly limited.

(C) Inclusion of a copyright notice will be permit­ted only if the following waiver is included at the beginning (preferably as the first paragraph) of the specification to be printed for the patent:

A portion of the disclosure of this patent document con­tains material to which a claim for copyright is made. The copyright owner has no objection to the facsimile repro­duction by anyone of the patent document or the patent disclosure, as it appears in the Patent and Trademark Office patent file or records, but reserves all other copy­right rights whatsoever.

(D) Inclusion of a copyright notice after a Notice of Allowance has been mailed will be permitted only if the criteria of 37 CFR 1.312 have been satisfied.

Any departure from these conditions may result in a refusal to permit the desired inclusion. If the waiver required under condition (C) above does not include the specific language “(t)he copyright owner has no objection to the facsimile reproduction by anyone of the patent document or the patent disclosure, as it appears in the U.S. Patent and Trademark Office patent file or records....”, the copyright notice will be objected to as improper.

See form paragraph 15.55 which repeats this infor­mation. >

¶ 15.55 Design Patent-Copyright Overlap There is an area of overlap between Copyright and Design

Patent Statutes where an author/inventor can secure both a Copy­right and a Design Patent. Thus, an ornamental design may be copyrighted as a work of art and may also be the subject matter of a Design Patent. The author/inventor may not be required to elect between securing a copyright or a design patent. See In re Yardley, 181 USPQ 331 (CCPA 1974). In Mazer v. Stein, 100 USPQ 325 (U.S. 1954), the Supreme Court noted the election of protection doctrine but did not express any view on it since a Design Patent had been secured in the case and the issue was not before the Court.

It is the policy of the Patent and Trademark Office to permit the inclusion of a copyright notice in a Design Patent application, and thereby any patent issuing therefrom, under the following condi­tions:

(1) A copyright notice must be placed adjacent to the copy­right material and, therefore, may appear at any appropriate por-

Rev. 2, May 2004 1500-60

1512 DESIGN PATENTS

tion of the patent application disclosure including the drawing. However, if appearing on the drawing, the notice must be limited in print size from 1/8 inch to 1/4 inch and must be placed within the “sight” of the drawing immediately below the figure repre­senting the copyright material. If placed on a drawing in conform­ance with these provisions, the notice will not be objected to as extraneous matter under 37 CFR 1.84.

(2) The content of the copyright notice must be limited to only those elements required by law. For example, “© 1983 John Doe” would be legally sufficient under 17 U.S.C. 401 and prop­erly limited.

(3) Inclusion of a copyright notice will be permitted only if the following waiver is included at the beginning (preferably as the first paragraph) of the specification to be printed for the patent:

A portion of the disclosure of this patent document contains material to which a claim for copyright is made. The copy­right owner has no objection to the facsimile reproduction by anyone of the patent document or the patent disclosure, as it appears in the Patent and Trademark Office patent file or records, but reserves all other copyrights whatsoever.

(4) Inclusion of a copyright notice after a Notice of Allow­ance has been mailed will be permitted only if the criteria of 37 CFR 1.312 have been satisfied.

Any departure from these conditions may result in a refusal to permit the desired inclusion. If the waiver required under condi­tion (3) above does not include the specific language “(t)he copy­right owner has no objection to the facsimile reproduction by anyone of the patent document or the patent disclosure, as it appears in the Patent and Trademark Office patent file or records...,” the copyright notice will be objected to as improper.

< The files of design patents D-243,821, D-243,824,

and D-243,920 show examples of an earlier similar procedure.

III. DESIGN PATENT/TRADEMARK OVER­LAP

A design patent and a trademark may be obtained on the same subject matter. The CCPA, in In re Mogen David Wine Corp., 328 F.2d 925, 140 USPQ 575 (CCPA 1964), later reaffirmed by the same court at 372 F.2d *>539<, 152 USPQ 593 (CCPA 1967), held that the underlying purpose and essence of patent rights are separate and distinct from those pertaining to trademarks, and that no right accruing from one is dependent or conditioned by the right concomitant to the other.

See form paragraph 15.55.01 which repeats this information.

>

¶ 15.55.01 Design Patent - Trademark Overlap A design patent and a trademark may be obtained on the same

subject matter. The Court of Customs and Patent Appeals, in In re Mogen David Wine Corp., 328 F.2d 925, 140 USPQ 575 (CCPA 1964), later reaffirmed by the same court at 372 F.2d 539, 152 USPQ 593 (CCPA 1967), has held that the underlying purpose and essence of patent rights are separate and distinct from those pertaining to trademarks, and that no right accruing from the one is dependent upon or conditioned by any right concomitant to the other.

<

IV. INCLUSION OF TRADEMARKS IN DE­SIGN PATENT APPLICATIONS

A. Specification

The use of trademarks in design patent application specifications is permitted under limited circum­stances. See MPEP § 608.01(v). This section assumes that the proposed use of a trademark is a legal use under Federal trademark law.

B. Title

It is improper to use a trademark alone or coupled with the word “type” (e.g., Band-Aid type Bandage) in the title of a design. Examiners must object to the use of a trademark in the title of a design application and require its deletion therefrom.

C. Drawings

When a trademark is used in the drawing disclosure of a design application, the specification must include a statement preceding the claim identifying the trade­mark material forming part of the claimed design and the name of the owner of the registered trademark. Form paragraph 15.76 may be used.

¶ 15.76 Trademark in Drawing The [1] forming part of the claimed design is a registered trade­

mark of [2]. The specification must be amended to include a statement preceding the claim identifying the trademark material forming part of the claimed design and the name of the owner of the trademark.

Examiner Note: 1. In bracket 1, identify the trademark material. 2. In bracket 2, identify the trademark owner.

Any derogatory use of a trademark in a design application is prohibited and will result in a rejection of the claim under 35 U.S.C. 171 as being offensive

1500-61 Rev. 2, May 2004

1513 MANUAL OF PATENT EXAMINING PROCEDURE

and, therefore, improper subject matter for design patent protection. Cf. Dallas Cowboys Cheerleaders, Inc. v. Pussycat Cinema, Ltd., 604 F.2d 200, 203 USPQ 161 (2d Cir. 1979) and Coca-Cola Co. v. Gemini Rising Inc., 346 F. Supp. 1183, 175 USPQ 56 (E.D.N.Y. 1972).

1513 Miscellaneous

With respect to copies of references being supplied to applicant in a design patent application, see MPEP § 707.05(a).

Effective May 8, 1985, the Statutory Invention Registration (SIR), 35 U.S.C. 157, and 37 CFR 1.293 - 1.297 replaced the former Defensive Publication Program. The Statutory Invention Registration (SIR) Program applies to utility, plant, and design applica­tions. See MPEP Chapter 1100.

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Rev. 2, May 2004 1500-62